. In the case that the cloud computing was employed to carry out critical activities , the intermediary shall ensure that at least the following matters is in place: 3.1 establish the policy on the use
checklist for monitoring element? If yes, please provide us that checklist. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures 5 Does the firm perform
must prepare a risk disclosure statement that contain the minimum aspect of disclosure as set out under the guideline attached hereto. Clause 3. This Notification shall come into force as from 1 April
person responsible for managing information security incidents; (3) report any information security events to the responsible person under (2) and the SEC Office without delay; (4) carry out testing of
used in determination of partner’s remuneration? (Do not need to specify amount of remuneration, just describe the criteria ) 10 Does the firm carry out the staff satisfaction survey results? If yes
a period of time in the future as set out in the contract is paid to the other party. 1.2 Risk of Loss in Trading Futures In futures trading, buyers (a party with long position) and sellers (a party
continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the followings task at least once each year: (1) Testing and reviewing of the business
execution or preservation of confidentiality (2) A management company should carry out transactions bearing in mind it is a representative of the client whereby making investment or issuance of trading order
securities business operating or derivatives business to intermediaries . Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity
carry out the supervision on behalf of such person together with the following documents (1) Documents showing shareholding structure of companies in the financial conglomerate; (2) Documents showing