providing trading service for units of foreign collective investment scheme, securities company shall comply with the following requirements: (1) accepting trading order during business hours and on business
, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC
person who is approved by the SEC Office under this Notification shall be exempted from being regarded as securities business in the following categories during the period of such regulatory sandbox, but
approved by the SEC Office under this Notification shall be exempted from being regarded as securities business in the following categories during the period of such regulatory sandbox, but only within the
shall be exempted from being regarded as derivatives business in the following categories during the period of such regulatory sandbox , but only within the units or departments providing services under
be exempted from being regarded as derivatives business in the following categories during the period of such regulatory sandbox, but only within the units or departments providing services under
provided in the application; (2) The licensee shall maintain the qualifications and arrangements set out under Clause 3 at all time during which it undertakes gold derivatives brokerage business; (3) The