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

affect the company’s credibility should it undertake fund management business; (3) The management company has shown that it has prepared, for the operations of the branch office to be established, the

Performance; (2) Securities Business Report; (3) Other reports as required by the SEC Office for the purposes of supervision and inspection of securities companies’ status and operations. Clause 2 Any

data and information system in accordance with Chapter 3; (4) information communications security via computer network systems and operations security with respect to information systems in accordance

parties of the Audit Firm by specifying the names of the parties, the countries of business operations, the natures of business operations or services, and the description of relationship or connection, e.g

able to work accurately as per their duties and create no risk which may render the intermediaries to infringe or not comply with laws, rules and standards relating to such business operations. For

Cryptographic Control; 2.7 Physical and Environmental Security; 2.8 Operations Security; 2.9 Communications Security; 2.10 System Acquisition, Development and Maintenance; 2.11 IT Outsourcing; 2.12 Information

SEC Office. “ risk haircuts mean the risk haircuts arising from the engagement in the derivatives business or any other operations of the derivatives broker . “ collateral ” means the total sum of the

may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being