effect from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of
risks to be of significance, which are: accessing to the information and computer system by an unauthorised person, an authorised person is unable to access to the information in the computer system in
Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the
the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch
. (c) Addressing significant matters arising during the engagement, considering their significance and modifying the planned approach appropriately. (d) Identifying matters for consultation or
personnel training program. 7. Promoting the significance of employee’s honesty 8. Prescription of policy and procedures for human resource management such as the employment and the recruitment of