persistent threat (APT), the network segregation, the application-to-application encryption, defense-in-depth and the network hardening; (4) define a clear set of controls including access control, monitoring
4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6
to the rules specified in the notification of the SEC Office. SECTION 32 A trustee shall be prohibited to set off the obligation arising beyond the performance in trusteeship owed by the trustee to a
supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations
objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom. "securities dealing" means a purchase, sale or
as investment advisor or derivatives investment advisor on the condition of not involving in the data collection or the data processing to publish advice on the website or electronic media, including
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom