of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

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

persons whose duties are to contact, solicit, advise or plan investment for investors or a securities company’s client and are divided into two categories: Category A Investor Contact who is authorized to

date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the

representative office abroad .................................................................................................................................................... 3.2 Having a work plan for

undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units

plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient

complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

and reports as well as a backup system and an emergency plan for recovering information stored in an electronical form; (2) determining a password to access information stored in an electronic form and