information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct, and complete data processing

that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts of interest and accessing inside

characteristics as well; (6) demonstrating that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts

year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk

and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to

2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice

service provider, the intermediary shall specify a measure for preventing conflicts of interest in accordance with Clause 7(3) which shall cover the segregation of operation and management arrangement

and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.

. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to

license within sixty days from the date on which the Office receives the complete application and supplementary documents, the Securities and Exchange Commission shall complete its consideration for