of the qualifications of the cloud providers, the terms of services, and inspection of records and evidence. Clause 9 An intermediary shall establish the information security which addresses at least
, 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
during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to
following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the
necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or
services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s
) to categorize the service user; (c) to assess suitability for providing services to the service user; (d) to consider the ability of the service user to comply with the agreement for service provision
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
Arrangement, Operating Systems and Providing Services of Securities and Derivatives Intermediaries dated 6 September 2556, the SEC hereby issues the following regulations: Clause 1 In this Notification