the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; “Office” means the Office of the Securities and Exchange Commission. Clause
., 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
) information assets, i.e., information, electronic data, and computer data. Clause 3 This Notification shall apply to the persons licensed to engage in securities business or derivatives business in the
and damage prevention system which the securities company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling · Storing the importance computer devices such as
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in
including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic
. The securities company shall provide a physical security system which is sufficient for preventing any unauthorised person from accessing to significant computer devices stored in the information centre
Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting
documents and evidences in accordance with the format and procedures provided by the Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and