services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
Office on a continuing basis; (e) having a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a specific scope of services to alleviate material impacts
it is no use continuing the mediation, the parties shall notify the Office to terminate the mediation or the Office may order to terminate the mediation, as the case may be, and then the parties shall
innovative development, products and/or services or the business model (if any). The objective is to demonstrate the Company’s continuing development to serve the needs of the stakeholders and to make
collection or any other compensation to be collected from the securities issuer. Clause 5/1 ( In the case where the Office has considered that the applicant for a license under Clause 3 has the accurate and
rating mutual fund, the investment advisory company shall comply with the rule as follows: (1) using the information supporting mutual fund rating gathered from the reliable and referable source; (2
of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must
collected from investors; (3) Merger or acquisition of mutual funds; (4) Acceptance of repayment by way of securities or other assets of the fund; (5) Actions to be taken in case where the liquidity of any
responsibilities of the management company (2) Types, rates and procedure for collecting of fee, other remuneration or expenses for management of the private fund. In case where the fee is collected according to the
of the return distribution or the reimbursement of capital to the unitholders; (b) fees or expenses collected from the unitholders; (c) any other cases approved by the SEC Office, provided that, in