provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
accessing or altering such information. The derivatives dealer shall keep the information pertaining to derivatives business undertaking under Paragraph 1 for a period of not less than five years from the
after altering or maintenance. [M] · Providing compliance guideline for operate the software such as personal firewall, password cracker etc. and consistently inspect the operation of software utility. [M
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In
company shall not engage in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the
independence policies apply. 14 Does the firm have any engagements where it acts as a principal auditor or accountant and another firm is engaged to perform segments of the engagement? If yes, describe how the
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring
ground to believe that the foreign personnel is or used to be engaged in an inappropriate conduct or fails to comply with the rules on giving of information or advice on the capital products denominated in