least once every six months; (5) prevent previously used passwords; (6) not display passwords on the screen while being entered; (7) store password files in encrypted form and keep them separately from
monitor the operating results. In the case where the Company has reviewed the policy, guidelines and/or objectives in the environmental area during the past year, identify the essences of the changes in
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
attachments herein. 8.2 Executives Identify the names and positions of the executives of the Company and display the organizational chart. In case of a holding company, specify also the names and positions of
of the directors of the subsidiaries in Attachment 2. 10.2 Executives Identify the names and positions of the executives of the Company and display the organizational chart. In case of a holding
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
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