practicable to employees of the securities company, including those entrusted by the company. Also, the procedures shall accommodate non face-to-face contact with the clients and the use of new or developing
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
the excel-file-via-email method. Intermediaries may submit the daily status report by filling in the online form available on the SEC website or by preparing a text file according to the Enclosures 1
the first available opportunity; (4) in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary, such information shall be revised and updated completely
repealed. Clause 2 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to capital market. “ approved person ” means a person who is
. “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish and having registered
subclause (1), such information shall be revised and updated at the first available opportunity; (4)1 in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary
a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC
is made. The storage of such document or evidence shall be made in the manner which is immediately available upon the Office’s request for a review or an inspection. Clause 4 This Notification shall