Securities Company; (3) the Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information Technology of Licensed Derivatives
Securities and Exchange Commission concerning the Operational Control and Security relating to Information Technology of Licensed Derivatives Broker. Clause 6 The SEC Office may announce a detailed guideline
) information assets, i.e., information, electronic data, and computer data. Clause 3 This Notification shall apply to the persons licensed to engage in securities business or derivatives business in the
) information assets, i.e., information, electronic data, and computer data. 2 Clause 3 This Notification shall apply to the persons licensed to engage in securities business or derivatives business in the
securities business operator in the category of mutual fund or private fund management or as trustee or custodian; (2) a financial institution established under other laws and later licensed to undertake
Notification shall come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform
this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform securities brokering, dealing, underwriting, mutual fund management, private fund