intermediary shall take the following acts at a minimum: (1) inform the foreign personnel of the scope of performance of duty; (2) ensure that the giving of information or advice is restricted only to the

the relevant rules, and the intermediary shall take the following acts at a minimum: (1) inform the foreign personnel of the scope of performance of duty; (2) ensure that the giving of information or

. Companies shall determine a sufficient scope of testing to ensure that companies are able to operate according to the BCP correctly and efficiently as expected. 8.2 In testing and assessing the BCP, companies

engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and

operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as

of the board of directors to ensure that the use of information technology in the business operation facilitates the intermediaries in achieving the specified goals with appropriate use of resources

. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and

areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure

part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is

shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the