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
and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as guidelines for investors to understand and monitor future business directions of
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
. 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. Derivatives broker shall
and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended transaction of the client does not violate or fail to comply with the
company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended transaction of the client does
Control under the Foreign Exchange Rule Reform Program Phase 2 per Notification of the Ministry of Finance Re: Foreign Exchange Control (No. 8), Notification of the Ministry of Finance Re: Minister’s
. Leadership from the top levels of government is necessary to pro- mote public confidence in the state‟s commitment to implementing the rule of law. 7 Corporate Governance in Asia (2010) 8 IOSCO, 2010