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

, it should assess related affect and record such alteration up to date, including communicate to the concerned person for acknowledgement. [M] · It should install software as necessary for operation and

) 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

which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it correctly. Clause 8. The securities

operational approach understandable and practicable on what, when and where to work. 5.2 Methods and channels to communicate among relevant persons either inside or outside companies Companies shall determine

and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such policy, and shall communicate the policy thoroughly in order to

Operating System for Communication with and Providing Services to Clients ___________________ Clause 5/1 To communicate with and provide services to clients under Clause 12(3/1) and Clause 25/1 of the

stationed at the office of the securities company where the communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company ’s

procedures by meeting the following criteria: (1) educate all employees and contractors on IT security policy relevant to their job function; (2) communicate to the employees and contractors that they should