| 1 |
These Operation Directions are adopted for the purpose of protecting personal information and preventing improper use of customer information by employees of futures enterprises.
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| 2 |
For the purposes of these Operation Directions, "futures enterprises" means futures commission merchants and futures service enterprises.
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| 3 |
An employee of a futures enterprise shall follow the enterprise's rules and restrictions with respect to customer information that the employee becomes aware of as a result of employment.
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| 4 |
A futures enterprise that possesses customer information files shall assign a specific person to maintain security of the information in accordance with applicable laws and regulations, in order to prevent theft or unauthorized disclosure of the customer information.
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| 5 |
A futures enterprise shall keep a detailed record of the names and job titles of persons who conduct the filing, transmission, and printing of customer information, and shall assign a specific person to manage the records.
A record shall also be made of any alteration, deletion, or use of the information referred to in the preceding paragraph that takes place subsequent to its filing.
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| 6 |
A futures enterprise shall establish a system for managing the inputting and outputting of customer information, based on identification codes and access codes. For important personal information, the enterprise shall additionally establish information access control.
The identification codes and access codes referred to in the preceding paragraph shall be updated on a regular basis as necessary.
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| 7 |
A futures enterprise shall establish an auditing system for customer information files. Auditing personnel shall perform regular or unscheduled audits of customer information file management.
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| 8 |
A futures enterprise shall establish a system for requisitioning and reviewing information on customer account-openings, mandates, credit checks, and transactions. None of the enterprise's personnel may review, photocopy, or print out the information except as required by law and regulation and after receiving authorization and approval. No specimen seal card or signature card of a customer that is retained by the enterprise may be photocopied or printed out except as needed for examination by its audit personnel.
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| 9 |
To requisition and review any customer's information, an applicant shall fill out an application form specifying the date of the requisition, the reason for the review, and the name and job title of the reviewing person. The application forms shall be numbered with serial numbers and managed by the assigned specific personnel.
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| 10 |
A futures enterprise shall require newly hired personnel to sign a written undertaking with respect to confidentiality of customer information.
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| 11 |
After a change in or the resignation of an employee, a futures enterprise shall cancel the employee's identification code and recall the employee's access pass and related identification.
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| 12 |
These Operation Directions, and any amendments hereto, shall be drafted by the Chinese National Futures Association in consultation with the Taiwan Futures Exchange Corporation, and shall be implemented after submission to and approval by the competent authority.
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