. specifying the source of data used in decision making, the study of analysis/research article, criteria in selecting the investment, fund manager’s rationale for deviating investment plan from the conclusion

time objectives) and set a recovery order of every critical business function suitable for possible impacts. 4.2 Companies should consider to determine a data class and latest data set to recover

) “ analysis of securities investment ” means an analysis of data relating to securities , for the purpose of giving advice or publishing , whether directly or indirectly, on the value of securities or

the stored things in respect of client ’s private data, and unrevealed or non-public information; (3) appointing a responsible person who has duty to undertake and be liable for arranging and keeping

protect the client ’s assets and comply with the specific Notifications stipulating about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets

of securities companies under (1) arranging an agreement for establishing a securities trading center in accordance with the rules specified in Clause 3; (3) offering innovative financial services that

matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a

) arranging a communication system which clients can use to communicate with the employees of the intermediary who can provide such information to clients; (c) establishing an investment information center to

compose of personal detail, time of entering and there should be inspected that record consistently. [M] · Arranging the computer centre separately such as network zone, server zone and printer zone etc

effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system