business undertaking is accurate, complete and current as well as functional and can be monitored effectively. There shall also be an adequate security system to prevent any unauthorized person from
preventing system installed and notify concern person instantly in case appeared that found virus. [M] 9. Audit log. · Providing a record of functional of server and network computer system, application log
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
preparations for economic, social and environmental changes, which will lead to the increase in opportunities and competitiveness. The Company may provide a brief description as deemed appropriate. In addition
information systems, an intermediary shall comply with the following criteria: (1) management of IT assets under Clause 15 to Clause 17; (2) physical and environmental security measures of IT assets under
actions to alleviate the impact and whether the actual results over the past three years have complied with the law. In case of disputes or legal complaints on environmental issues, specify the details of
to alleviate the impact. (In case of expenses on environmental control incurred over the past three years or forecast, provide such information as well). Specify whether or not the actual results
Cryptographic Control; 2.7 Physical and Environmental Security; 2.8 Operations Security; 2.9 Communications Security; 2.10 System Acquisition, Development and Maintenance; 2.11 IT Outsourcing; 2.12 Information
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