Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
of the associated persons and that of the shareholders under the same controlling person is considered the shareholding of the same group: (a) Top 10 highest shareholders; (b) Major shareholders whose
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor
(2) as the case may be. For the purpose of Paragraph 1, the term “ senior management ” means manager, assistant manager, or a person whose position is in the same level as the aforesaid position but is
) to categorize the service user; (c) to assess suitability for providing services to the service user; (d) to consider the ability of the service user to comply with the agreement for service provision
to assess value of assets on investment management of that mutual fund; (c) Real estate management person; (d) Person, which is not state agency, holds shares in the same manner as following: 1. Person
comply with this Notification under the same standard. In this regard, the SEC Office may impose the detail for consistence with the category of any intermediary or capital market products ; (2) issuing
intermediaries to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
Derivatives Intermediaries dated 6 September 2013. Clause 3 The regulations detailed in this Notification are stipulated for intermediaries to proceed in the same direction in compliance with the Notification