log-on and enforce password 24 changes at 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
compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
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
from time to time, to allow the SEC Office to monitor compliance with this Notification, within a time period specified by the SEC Office, provided that the requirement does not cause unreasonable burden
as from 1 January 2001. Clause 2. In this notification, unless the contrary intention appear, “Securities”1 means the securities which are not debt instruments and investment units; “Securities company
1. This Notification shall come into force as from 1 January 2001. Clause 2. In this notification, unless the contrary intention appear, “Securities”1 means the securities which are not debt
any disgraceful record, and must comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange