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

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

. In considering the application under Clause 5, the SEC Office, in addition to reviewing the application and the supplementary documents, shall be authorized to instruct the applicant to provide

provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. Clause 10

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

. In this regards, guidelines for reviewing the mission, strategy, policy and operational plan in appropriate period or under circumstances shall be established. The determination of such mission

6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this

Engagements (4) Human Resources (5) Engagements Performance (6) Monitoring 9. Audit Quality Indicators (“AQIs”) (1) The actual hours spent in reviewing and auditing the financial statements of listed companies

and managing conflicts of interest, the policy shall determine for the promptly reviewing as to adequacy of the measure and system as well as for the reporting such review to the intermediary ’s board