trading of the client shall be updated while the debt-repaying ability and the trading limit of each client shall be reviewed on a regular basis. A securities company shall maintain complete evidentiary
management process; (d) monitor and review the users’ access rights at a regular interval. (2) there shall be requirements in place for users to comply with the organization’s practices in the use of passwords
) monitor and review the users’ access rights at a regular interval. (2) there shall be requirements in place for users to comply with the organization’s practices in the use of passwords; (3) there shall be
) monitor and review the users’ access rights at a regular interval. (2) there shall be requirements in place for users to comply with the organization’s practices in the use of passwords; (3) there shall be
and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be
personnel of the policies and the practices as well as a procedure for continuous and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance
a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved and inspected by the SEC
client shall be reviewed on a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved
client shall be reviewed on a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved
repayment ability and the trading limit of each client on a regular basis. Clause 28 The derivatives broker shall maintain complete documentation with respect to the undertakings in Clause 20, Clause 21, and