units or departments providing services under regulatory sandbox: (1) securities brokerage business; (2) securities dealing business; (3) investment advisory service business; (4) securities underwriting
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
include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for
system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for emergency matters whereby
guideline shall at least include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well
each departments and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4 . Derivatives broker who wishes to use back
derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among each departments