personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage
. Computer Operation. 8. IT Outsourcing. Policy of Security of the Information Technology. Objective Providing a policy of security of the information technology has an objective for the user and the concerned
intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage to the client
been granted prior approval by the authorized Committee or management concerned; (c) number of persons and information of the personnel who are responsible for risk management arising from derivatives
its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due
or the law on securities and exchange, as the case may be, and the regulations issued by virtue of the said laws. Clause 3 This Notification shall govern the segregation and management of the assets of
. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it correctly. Clause 8. The securities
shall comply with the rule related to the determination of the fair value of an investment specified by the association, mutatis mutandis; (b) in case the rule under (a) does not govern the determination