) handling of the client’s complaints; (d) risk management of various types including IT risk. (3) notify the client that the provision of services is in accordance with the regulatory sandbox, which contains
contract with service provider that should cover the followings: (1) Duties and responsibilities of service provider including the derivatives broker’s responsibilities and its clients on any act or omission
written contract with service provider that should cover the followings: (1) Duties and responsibilities of service provider including the derivatives broker’s responsibilities and its clients on any act or
provider including the derivatives broker’s responsibilities and its clients on any act or omission of any act, willfully or negligently, of the service provider; (2) Conditions and guidelines for the
matters: (1) Duties and responsibilities of service provider including responsibility for securities company and its clients from any act or omission of any act, willfully or negligently, of the service
, that should cover the following matters: (1) Duties and responsibilities of service provider including responsibility for securities company and its clients from any act or omission of any act, willfully
details for implementation by the personnel or person assigned to operate the securities company; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the
maintaining or recovery of business operations which contain sufficient details for implementation by the personnel or person assigned to operate the securities company; (2) Information, including the roles and