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
technical competence in fast-changing areas? 3 How do partners deal with meeting various different targets e.g. clients / new work gained, fee income, recovery rates, debt recovery (including timeliness
from major operational disruption to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 4 Business continuity plan in accordance with
disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 6. A securities company shall establish in writing a business continuity
maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as
intermediary ; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall be maintained in such a manner of ready retrieval for promptly viewing and
level agreement, recovery time objectives (RTO) and recovery point objectives (RPO); (6) set forth the liability if the cloud provider is unable to provide services in accordance with the service
the information on the appointment and the discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC Office upon request. (1) the persons