notify the incidents to the regulatory agencies in time, the intermediaries shall design a plan for communication with relevent persons either inside or outside companies in accordance with possible

shall be explained in terms of a 3-5-year business plan (represented in figures or otherwise) and a progress report on the implementation of the operation according to the goals shall be explained in the

the core business operation from formation of vision, objectives and strategies to business risk assessment and day-to-day activities, for example, product design, raw material procurement, production

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

business operation and has the duty to convey the goals under the missions, strategies, policies, and operating plan at the enterprise level to the information technology-related goals under the supervision

representative office abroad .................................................................................................................................................... 3.2 Having a work plan for

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

plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

plan and report. In granting an approval under Paragraph 1, the SEC Office may impose additional requirements on the intermediary on a case-by-case basis. Clause 41 An intermediary shall prepare a report