threats to information systems: - protection from malware [Referring to Item 8.2]. - technical vulnerability management [Referring to Item 8.6]. 6. System acquisition, development and maintenance [Referring

exercise precaution and refrain from using the organization’s information systems which may likely damage the intermediary or the capital market or have an impact on the national security, and that they are

or investing in capital market product whether or not the analysis is fundamental or technical, in conjunction with such consultation. “ fundamental analysis ” means an analysis to seek an appropriate

customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or

whether or not the analysis is fundamental or technical, in conjunction with such consultation, and shall mean an ASEAN investment analyst as well; “ ASEAN investment analyst ”9 means a person eligible to

basis; (e) having a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a specific scope of services to alleviate material impacts or damage on

or damage on investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of

of the use of securities business for money laundering and financing of terrorism that could damage the reputation of intermediaries. Regarding the Know-Your-Client/Client Due Diligence (KYC/CDD

technical competence in fast-changing areas? 3 How do partners deal with meeting various different targets e.g. clients / new work gained, fee income, recovery rates, debt recovery (including timeliness

how accounting and auditing technical updates are communicated to audit staff along with necessary interpretations and quality control standards 15 How does the firm ensure that those involved in