provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such

results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person

accessing or altering such information. The derivatives dealer shall keep the information pertaining to derivatives business undertaking under Paragraph 1 for a period of not less than five years from the

on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the

after altering or maintenance. [M] · Providing compliance guideline for operate the software such as personal firewall, password cracker etc. and consistently inspect the operation of software utility. [M

with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets

) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3

company shall not engage in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the

services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s

not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring