shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units
into the agreement which appoint the securities company as the securities broker of the client, the securities company shall establish the methods and procedures for considering the application for
undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place
personnel; · require principals and staff to be alert to threats and report them promptly; · require the Ethics Partner to assess the implications and determine whether any safeguards or whether there is a
, telecommunications networks or satellite services. Clause 12 An intermediary shall establish information security of the business continuity management in accordance with the following criteria: (1) determine
public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who
wipe-out, etc.; (3) determine the types of application services that allow using via mobile devices. Establish a measure for control of access to such application services by taking into consideration
future, this Notification is issued to determine the rules regarding permission to qualified derivatives broker to establish branch offices in foreign countries so it is deemed expedient to issue this
unitholders and the management company and the resolution of the unitholders. Clause 6 A management company shall establish a system for the administration and the management of a fund which covers at least the