To: Taiwan Stock Exchange Corporation
XXXX Securities Co., Ltd. (the "Company" or "we") intends to provide the Direct Market Access services starting [dd/mm/yyyy] and we hereby submit the information about our current information transmission structure, procedures and security management and control system to you in accordance with the regulations of the Guidelines for Securities Broker's Operation of Direct Market Access:
1. Information transmission structure and procedures
We guarantee the information provided above is true, and confirm, after reasonable evaluations, we are able to meet the requirements on information and communication security. Also, the Company has established appropriate computer screening systems and management procedures to ensure each order transmitted to the centralized securities exchange market will meet the requirements under the applicable laws and regulations of the Republic of China. We fully understand if the information we have provided is false or untrue, you may limit and suspend our trading for part or all our brokerage or terminate the market usage contract in accordance with Articles 30 and 141 of the Operating Rules of the Taiwan Stock Exchange Corporation. We further fully understand if, when providing the Direct Market Access services, we experience irregularities that may affect the market trading order, you may ask us to suspend use of our Direct Market Access services, restrict or prohibit certain, part or all our customers from using our Direct Market Access services in accordance with the Taiwan Stock Exchange Corporation Guidelines for Securities Broker's Operation of Direct Market Access.
2. Security management and control system
- Information transmission structure
- Information transmission procedures
- Description of identity verification system
- Description of data integrity system
- Description of data privacy system
- Description of non-repudiation system
- Description of other security and control systems
Responsible Person of XXXX Securities Co., Ltd.
Reminder: If a principal using the Direct Market Access to place orders or the operator he or she has authorized to do that has the sufficient knowledge of system operation and system security, the possibilities of human errors may be reduced.