shall be as set out in Chapter 4. Clause 6 The SEC Office may prescribe a detailed guideline of the provisions under this Notification to serve as a guideline which is appropriate and consistent with this

The SEC Office may prescribe a detailed guideline of the provisions under this Notification to serve as a guideline which is appropriate and consistent with this Notification, and upon compliance with

acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and personnel whose duty

that all information provided in this application and its attachments are true and correct. Full name as per Passport Signature Date signed (DD/MM/YYYY) Fast Track ISQC1 Paragraph 12 Network – A larger

, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having appropriate, reliable and efficient operating system to support an intermediary ’s

, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable

business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in

operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able

should record the detail of event, cause of problem, and dissolution method. [A] Computer Operation. Objective Computer operation have an objective for operate the computer system correct, consistent and

Exchange dated 22 December 2004 and its amendment, which are in force on the date on which this Notification comes into force, shall remain in force to the extent that they are consistent with or not