least once a year. In case of the occurrence of any event which may significantly affect the governance of information technology, the policy on the governance of information technology shall be reviewed

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

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

increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to

. (3) once the case of the complaint is deemed final, the securities company shall inform the results of solutions to the complaint to the customer within seven days from the date when the complaint case

) processes and procedures shall be established in line with the policy on the governance of information technology; (3) policy on the governance of information technology shall be reviewed at least once a year

institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a

being closed out and the responsibility for any loss that may arise. When an investor has a futures position, the derivatives broker will mark to market the futures position of investor at least once at

management company shall disclose the name of fund managers of each mutual fund in a report or document sent to unit holders at least once a year and in the web site of the management company. In case there is

disclose the list of fund manager of each mutual fund in a report or document sent to unitholders at least once a year and shall publish the same information on its website. In case of any change on such