company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
attachments herein. 8.2 Executives Identify the names and positions of the executives of the Company and display the organizational chart. In case of a holding company, specify also the names and positions of
management of IT resources, including criteria to identify IT priorities, that takes into consideration the company’s business model. Principle 6 Strengthen Effective Risk Management and Internal Control
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
academic stages for interesting issues for exchange of views, and supports development and application of innovations and technology in capital market processes. SEC will monitor progress in aspects and
company/ person(s) under the SEC supervision; 4. Details of the complaint ( Please identify clearly ) , i.e., objective and details of the complaint, documents and other evidence, for instance, trading