is no any fact indicating any failure or inappropriateness in operational control and compliance with good business practices. Clause 6 The applicant for a derivatives business operator registration
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well
Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of
translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division