. In this regard, if the intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and
intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and provisions of the Notification No
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areas, namely securities regulation reviewed under 37 IOSCO Objectives and Principles of Securities Regulation, and the clearing and settlement infrastructures reviewed under the Principles for Financial
practices are relatively infrequent considering the overall normal transactions in the capital market; however, damage incurred from a few cases could tarnish the confidence of investors and stakeholders on a
practices are relatively infrequent considering the overall normal transactions in the capital market; however, damage incurred from a few cases could tarnish the confidence of investors and stakeholders on a
, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk management for business continuity of intermediary pursuant to this
regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk
under the principles similar to the rules on risk management for business continuity of securities companies pursuant to this Notification. Clause 3. In order to ensure that critical functions of a
under the principles similar to the rules on risk management for business continuity of securities companies pursuant to this Notification. Clause 3. In order to ensure that critical functions of a