under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the professional ethics or standards as stipulated by an association under the
and evidence as considered appropriate within the time as specified by the Office. If the applicant fails to comply or proceed as being required, the Office shall deem that such applicant does not
documents and evidence as considered appropriate within the time as specified by (Translation) 4 the Office. If the applicant fails to comply or proceed as being required, the Office shall deem that such
that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the
characteristics thereof; 5 **(4) having sufficient readiness for providing services and ensuring that the services provided to investors would comply with the regulations relating to providing investment
information in the financial statements do not comply with the financial reporting standards obliged to use in preparation for such financial statement; or (2) the auditors are limited their scope of the review
unfairly. Clause 4 The rules in detail according to this Notification have been prescribed in order for intermediaries to comply with the Notification on the Standard Conduct of Business regarding the
show the possibility of providing innovative financial services, including the research results on potential risks from the regulatory sandbox ; (8) having no record of violating or failing to comply
record of violating or failing to comply with the regulations or conditions related to participation in a regulatory sandbox. Clause 3 The agreement for establishing a securities trading center under