anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry
acknowledgement to create awareness of the IT security in the use of the cloud computing; (7) define clear roles and responsibilities of the cloud provider such as the data backup, the helpdesk services, the
intermediary . “institutional investor” 6 means an institutional investor under the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra High
institutional investor under the Notification of Securities and Exchange Commission concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ high net worth
each including respective solution guidelines. 2.4 Under-construction projects Only in case of high-value, time-consuming projects or assignments such as building or ship construction projects, disclose
competition (a) Describe the marketing policies and characteristics of the core products or services, for example, competitive strategies (ex. price competition, service providing, warranty or product quality
associated companies. The information in this part shall be described in brief and the details thereof shall be disclosed in attachment; (5) Under-construction projects. (Only in case of high-value, time
capabilities; · Experts are available, if needed; · Individuals meeting the criteria and eligibility requirements to perform engagement quality control review are available, where applicable; and · The firm is
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11