. · Indications that the client might be involved in any criminal activities. · The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. · The identity and business reputation

4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6

level agreement, recovery time objectives (RTO) and recovery point objectives (RPO); (6) set forth the liability if the cloud provider is unable to provide services in accordance with the service

from major operational disruption to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 4 Business continuity plan in accordance with

disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 6. A securities company shall establish in writing a business continuity

maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities

retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory

all services performed for clients, including services performed by entities closely aligned through common employment and other means, and evaluating whether any of those services might impair

intermediary ; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall be maintained in such a manner of ready retrieval for promptly viewing and

considered by the concerned agency that he or she has participated in causing damage or might be responsible for the damage occurring to the above mentioned company. Date of the incident