supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations
manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A
potential, and the names of competitors (only in the case of duopoly or oligopoly). 2.3 Procurement of products or services (a) Describe an overall procedure for procuring products for sale during the past
, Property Development, A company entered into the service concession arrangement or the Joint Operation and Joint Investment with grantor, Emerging Markets)? If so how are above “normal risk” clients managed
exposure is acceptable or not. The Client should also consider a potential of return on acquiring a position, amount of premium and transaction fees and possible losses. 3.2 Fees on Derivatives Trading Prior
potential conflict of interest, disclose the upcoming related party transactions; * The guidelines for disclosure of the use of proceeds shall be in accordance with the Disclosure Guidelines for the
likelihood or frequency of incidents and significant or potential impacts in order to prioritizing the management of information technology risk; (3) establishment of tools and measures for managing risk level
preceding year, industrial and competition outlook with regard to, for example, an approximate number of competitors, the Company's size compared with that of the competitors, competitiveness and potential
information on any potential conflict of interest to the client adequately and appropriately\ prior to entering into such transaction. Clause 10 In the case where an intermediary has a reasonable ground to
or documents given by a client, the intermediary shall review and update such information without delay by taking the following actions: (a) gather and recheck information in addition to the normal