Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business

business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any

Objectives of practice guidelines for business continuity management The SEC provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity

, Measures, Management Arrangement on Information Security __________________ Clause 7 In this Chapter: “ teleworking ” means the operation which accesses the critical information system with indirect

., computers, equipment, data recorders, and other equipment; (3) information assets, i.e., information, electronic data, and computer data; “ critical IT assets ” means the IT assets that are related to or

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

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