registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core business is under direct supervision of another
procurement. (In case of financial institution, specify the sources of capital and loans); (4) Assets used in business undertaking Describe the key characteristics of the core permanent assets and core
: Governance of Enterprise IT Objective: Information technology systems are taken on a major role as a business driving force and constitute one of the core operating systems where disruption will have an impact
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
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance
of a holding company, the sizes of the company operating the core business and the others shall be specified in comparison to the specified sizes under relevant regulations. Should the ratios do not