needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
August 2016 with respect to the procurement of adequate financial resources for covering risks and the detailed operation concerning the risk management. Clause 3 The derivatives clearing house shall
appropriate knowledge and expertise, and that the information it uses in determining A-6 credit ratings is of sufficient quality and obtained from reliable sources to support a high quality credit rating. 1.4 A
provide a sufficient 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
and damages that may occur to the company and the stakeholders. It is therefore a duty of the company’s board of directors to ensure that the company has in place an appropriate and adequate internal
line with the corporate budget plan and the corporate strategic plan; (3) allocation of sufficient human resources for the information technology function, for example, arrangement or development of
should adopt reasonable measures designed to ensure that it has the appropriate knowledge and expertise, and that the information it uses in determining A-6 credit ratings is of sufficient quality and
renegotiating payment condition with its business partner. All of these measurements are the effort of cost control in order for the group to secure sufficient cash flow to continue its business operation under
a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient processes to ensure that the client is the same person whose identity