is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the
according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must
finance during an occurrence of emergency incidents. 5.4 Establishment of alternative site In order to prevent impacts from emergency incidents occurring wide areas, companies may arrange an alternative
the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In
independence policies apply. 14 Does the firm have any engagements where it acts as a principal auditor or accountant and another firm is engaged to perform segments of the engagement? If yes, describe how the
ground to believe that the foreign personnel is or used to be engaged in an inappropriate conduct or fails to comply with the rules on giving of information or advice on the capital products denominated in
foreign country; (2) there is no ground to believe that the foreign personnel is or used to be engaged in an inappropriate conduct or fails to comply with the rules on giving of information or advice on the
systems, if needed, to ensure availability as required under (3). Clause 13 An intermediary shall create an awareness of IT policy and related procedures among its employees and contractors who are engaged
: (a) specifying a supportive measure for business continuity under Clause 20(1)(b) which shall include an arrangement of an alternative site and readiness testing thereof on a regular basis; (b) in case
and communication technology infrastructure; (h) alternative energy; (i) water management system or irrigation; (j) natural disaster preventive system, including the warning and management systems to