business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and
: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person
” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian
characteristics ”5 means other capital market products which is not capital market product having high-risk or complex characteristics; “ general manager ” means a person who is assigned by the board of directors
details for implementation by the personnel or person assigned to operate the securities company; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the
, settlement month, etc. or the derivatives symbol assigned by a derivatives exchange; (4) The amount and price of a derivatives contract; (5) The type of transaction, such as opening or close-out of derivatives
securities and exchange , including regulations issued by virtue of such law in the part of their responsibilities; (8) having readiness of personnel for proceeding as assigned by the management company . In
on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by