Objectives of practice guidelines for business continuity management The SEC provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity
., 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
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
of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of
business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any
controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
, Measures, Management Arrangement on Information Security __________________ Clause 7 In this Chapter: “ teleworking ” means the operation which accesses the critical information system with indirect
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
changes in the shareholding structure, management or business operation or any other important events (for example, merger and acquisition) during the past three years, if any. 1.3 Shareholding structure In