of the qualifications of the cloud providers, the terms of services, and inspection of records and evidence. Clause 9 An intermediary shall establish the information security which addresses at least

, telecommunications networks or satellite services. Clause 12 An intermediary shall establish information security of the business continuity management in accordance with the following criteria: (1) determine

statements / information For the year ended for.............quarter ended Name of auditor affiliated with audit firm ( Financial statements audit ( Financial statements / information review · 1 . Unmodified

. “ advertisement ” means an action which makes publicly known about information of [i] intermediary ’s businesses or services, [ii] capital market products or [iii] selling capital market products by using

during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to

following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the

) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3

reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency

services within the scope of each type of license granted to the intermediary ; (2) To arrange for clients to access the information prepared by the foreign intermediary or the issuer or the offeror of such

procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to choose a service or make an