a year or when there is a significant change affecting the risks and impacts as such. In doing so, it shall be complied with the following approaches: 3.1 Defining Critical Business Function Companies

foreign country, there shall be consideration on change or uncertainty regarding economic, political, social and legal issues of the foreign country as well as the complexity in business continuity

of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

substance information of the executive summary as provided in section 1 of the registration statement together with the subscription forms. Clause 10 A securities underwriter shall not disseminate information

exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse

cover the following subject matters in accordance with appropriate periods: (a) activities relating to the approach of risk management or allocation and management of IT resources, for example, a summary

co-underwriter or a related securities company which relates to the underwritten securities or other securities relating to the underwritten securities in such a manner that any change in such

change in, , renewal of and termination of the agreement. (8) Stipulation of a period and method of payment of the benefit to the client while the agreement is effective. (9) Rules of practice for

Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets

directors or executives of an intermediary . (3) criteria on review and change of service provider; (4) guideline in case the service provider would subcontract the outsourced function to another party which