accessing the password by other person, the user should change the password instantly. · Having an encryption the file that keeping the password for the purpose accessing or modifying. [M] · Inspecting

provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. Clause 10

analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving

retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory

inspecting unit…………………………………………………………… (2) Period of inspection.……………………………………………………… ……… (3) Scope of inspection (3.1) Audit engagements level…………………………………….…………… (Please specify the names of the engagement

standards of business operation; (4) having efficient system of operational control for examining and counterbalancing [the personnel’s performance]; (5) having efficient internal audit and control system; (6

, the intermediary should establish a process for monitoring and inspecting closely and regularly the operation of the relevant personnel to mitigate potential risks. 2.2 Mobile Devices and Teleworking

managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession

communication with and providing services to a client at least in accordance with the rules as prescribed in Clause 25/1; (4) having efficient system of operational control for examining and counterbalancing [the

) independent compliance unit with acceptable standards and reliable for inspecting the operation of the company; (e) standard and reliable system for data recording and reporting of information to the company’s