Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well
Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of
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
such as information structure document, operational manual, name list account of user, functional program and program specification etc. and keep such document in the safe place and simply use. [M
shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
estimated period of spending such amount. 4. Others: Ex. As working capital Remarks: 1. Disclose the estimated net amount of the proceeds broken down into each principal intended use thereof, which can be
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
companies If the Company has subsidiaries or associated companies, the following information shall be disclosed: (1) Policy on operational organization within the group of companies; (2) Shareholding diagram