to the IT Standard Rules this time are summarized as follows: (1) Establishing IT-related risk assessment criteria to define the entity’s risk level and to specify standards of IT security controls
include requirements for information technology governance and auditing by IT specialists. It also outlines the timeline to submit the IT audit report and IT Risk Assessment results, which must be
Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives
mechanism of investor protection and the SEC efficiency and integrity. Operational framework and assessment procedures were issued later to facilitate the evaluation of the strategic plan's effectiveness. 1.2
on acquisition or disposition of assets year 2004 (including the additional amendment announcement) (“the announcement on acquisition or disposition”). And when making evaluation in accordance with all
A. RAP & Client Acceptance A.0 Risk Assessment Process for Acceptance and Continuance of Client Relationships and Specific Engagement element: Firm's Reference /Guidance Notes Description 1 What are
, but they shall keep monitoring such operations. Division 3 Impacts from emergency incidents which may cause major operational disruptions to the critical functions Companies shall arrange an assessment
emergency incidents which may cause major operational disruptions to the critical functions Companies shall arrange an assessment on risks and possibility of major operational disruptions due to a possible