are in accordance with the form and procedure provided on the website of the SEC Office: (a) An application and supplementary documents; (b) A letter certifying that the person has qualifications and

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for

documents which are in accordance with the form and procedure provided on the website of the SEC Office: (a) An application and supplementary documents; (b) A letter certifying that the person has

potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a license

Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Businesses For Which an Approval Is Required. (2) having a procedure for providing services to the service user by

for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing services to the client by

for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing services to the client by

client; (c) to assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing

client; (c) to assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing

classification [Referring to Item 4.2]; - backup [Reference to Item 8.3]; - cryptographic control [Referring to Item 6]. 3. Supervision of the operating personnel: - end user controls, for example: - protection of