investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of
numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be
characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of occurrence. Supplementary
shall not do any operation which may cause detriment to or is exploiting a client or investors by using information or a chance arising from its services in the following characteristics: (1) entering
intermediary shall not do any operation which may cause detriment to or is exploiting a client or investors by using information or a chance arising from its services in the following characteristics: (1
providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives
under Clause 31, the SEC Office shall at least: (1) give a chance to the person under consideration to elucidate the facts; (2) deliver facts and elucidation (if any) of the person under consideration to
position as a result of possessing prohibited characteristics in Group 3 under Clause 31, the SEC Office shall at least: (1) give a chance to the person under consideration to elucidate the facts; (2
likelihood or frequency of incidents and significant or potential impacts in order to prioritizing the management of information technology risk; (3) establishment of tools and measures for managing risk level
shall prepare in writing (electronic transaction like e-mail) with an approval by the authorised person such as chief of Section requested, chief of computer division requested etc.. [M] · Providing an