such as information structure document, operational manual, name list account of user, functional program and program specification etc. and keep such document in the safe place and simply use. [M
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
reporting of suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional
Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory
the Capital Market Business Clause 4 Personnel in the capital market business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited
business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Appropriateness of selected accounting policies (paragraph number........) ( 2.1.2 Application of the selected accounting policies (paragraph number........) ( 2.1.3 Appropriateness or adequacy of disclosures in
operational audit; (2) Arrange to have personnel perform duty as investment manager or to solicit investors, with prepared investment plans, to enter into a contract with derivatives fund manager. Any person
Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of