business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division
management of information technology resources which covers the allocation of resources to ensure sufficiency for business operation and establishment of guidelines to support incidents where the resources are
regulator; (4) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial difficulty. In addition, there
liabilities which the derivatives broker shall pay by cash or other assets when the specified incidents occur; 3. other contingent liabilities as stipulated by the Notification of the Office of the Securities
pay by cash or other assets when the specified incidents occur; 3. other contingent liabilities as stipulated by the Notification of the SEC Office. (6) “ qualified liabilities ” means (a) liabilities
branch office and shall clearly place a notice board at such branch office for at least thirty days. Clause 12. Upon occurrence of the following incidents, the Office may order a temporary or permanent
that the following incidents occurred during the past year, describe facts, reasons, impacts on the Company and the subsidiaries, solutions applied and guidelines for future inspection and prevention: (1
impacts on social responsibility (if any): In the event that the following incidents occurred during the previous year, describe relevant facts, reasons, impacts on the Company and the subsidiaries
year; - Minimum description shall cover operational overview and financial condition, impacts of major incidents or factors over the year. For example, business/company merger, business liquidation or