the cause of the problems, suggest solutions to the problems, report the incident to executives, and retain relevant evidence and documents available for viewing or inspection by the SEC Office upon
reviewed its internal structure and operation to improve performance efficiency. The “Change Management Program” was launched with an aim to shift the SEC’s role more towards that of a “facilitator” and
available for viewing within reasonable time. Derivatives clearing houses shall set up an alternative system for use when the system under Paragraph 1 cannot function properly so that the management and
available for viewing or submission to the SEC Office for inspection upon request. Chapter 2 Actions in Case of Failure by Intermediary to Maintain Capital Clause 12 An intermediary failing to maintain the
year. Clause 11 The intermediary shall cause documents relating to the maintenance of capital to be kept at its place of busienss in a manner that they are available for viewing or submission to the SEC
, processed, and made available for viewing within reasonable time. Securities clearing houses and central securities depositories shall set up an alternative system for use when the system under Paragraph 1
service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or suspending performance [under such contract]; (4
of the service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or 3 Amended by the Notification of the
of the service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or 3 Amended by the Notification of the
declared as the “Year of Shift”. It is the opportunity for the organization, high-ranking executives and staff to revise the business model in order for the organization to achieve stable growth and the goal