disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or long term, such as damage on building or place of business or branches, a failure of
inside information in the manner of exploiting other investors, or revealing such information for the benefit of other persons. For the purpose of sub clause (3) of the first paragraph, the term “inside
; (6) “inside information” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired during the course of
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business: (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4 and Clause 5 or Clause 6
throughout the period of participating in the regulatory sandbox; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing services to clients