. 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 without delay

of non-compliance with the firm’s system of quality control. (c) conclusions drawn (d) deficiencies noted: type and frequency (e) remedial action proposed, including training (f) changes to control

the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in

cash or other assets from the derivatives broker upon occurrence of the specified events; (c) other contingent liabilities as stipulated by the SEC Office. “ qualified liabilities ” mean: (1) liabilities

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

explained the procedure and measure on price risk management of investment, derivatives and products or underlying issues such as position limit, pricing model, method and frequency in the marking to market

contingent liabilities which require payment by cash or other assets from the securities company upon occurrence of the specified events; (c) other contingent liabilities as stipulated by the SEC Office

upon occurrence of any of the following circumstances: (1) when such persons no longer have the qualifications or possesses the prohibited characteristics as prescribed in Clause 12. In case such persons

capital market business shall be terminated upon occurrence of any of the following circumstances: (1) when such persons no longer have the qualifications or possesses the prohibited characteristics as

branch office and shall clearly place a notice board at such branch office for at least thirty days. Clause 12. Upon occurrence of the following incidents, the Office may order a temporary or permanent