business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these

who provide back office service for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or

specified in the notification of the association approved by the Office. The derivatives fund manager shall disclose to the customer investment information, results of operation, rules and procedures for

necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office

deception, frauds or corruption during the period as prescribed by the Office and no more than three years prior to the date the branch office starts its operation; (3) the management company is not being

management of information technology resources which covers the allocation of resources to ensure sufficiency for business operation and establishment of guidelines to support incidents where the resources are

of financial and operational risks. In managing risks accociated with the operation of information technology, the derivatives broker shall put in place a system of control of the operation and

approved person shall take the following actions during the period of operation: (1) compiling and assessing the information of the service user for the following purposes: (a) to know the service user; (b

) Having backup system and measures for emergency situation to prevent the extended discontinuing of operation. 1.1.2 Document and Information Security Having adequate security system for document and

security system to prevent unauthorized persons from accessing or amending information relating to its business operation. Clause 12 A securities company shall provide evidence on securities trading and