notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
of cloud computing under Clause 8(1) which contains at least the following matters: (1) assess risks relating to the use of cloud computing services; (2) define areas or function the cloud computing
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
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
securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising from major operational
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and