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Article 5
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When providing digital services pursuant to these Directions, the securities firm shall establish appropriate control measures and internal audit procedure in the corporate internal control system, including but not limited to:
- Business staff shall always act within the scope of services stated in these Directions when providing relevant services, and official and unofficial concurrent duties must be consistent with the Rules Governing Responsible Persons and Associated Persons of Securities Firms.
- Based on the services provided, evaluate potential information and communication security risks (e.g. physical and environment security, access control, network security management, and application of innovative technologies) and establish control measures.
- What personal information about client the securities firm may access and use (including the procedure of collection, processing and use) and evaluate potential personal data risks and establish control measures.
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