necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or

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

knowledgeable and competent persons. 9. Supporting staff in developing knowledge, skills and abilities required to perform the assigned tasks including the evaluation of such knowledge and skills. The development

persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons

repealed.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

regulations: Clause 1 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

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 approved by the SEC

for rendering the securities company get service of information technology from other provider efficiently, acceptable and able to control a risk and having a content cover guideline for selection and

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