Notification. “critical function” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business
securities financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers
provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity management that should be applied by each intermediary and for determining a
Policies, Measures, Management Arrangement on Information Security __________________ Clause 7 In this Chapter: “teleworking” means the operation which accesses the critical information system with indirect
., computers, equipment, data recorders, and other equipment; (3) information assets, i.e., information, electronic data, and computer data; “critical IT assets” means the IT assets that are related to or
stakeholders. This type of information, when combined with financial information, can provide valuable insights to the overall quality of management which is a critical factor in the appraisal of a firm’s