client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c) handling of the
services to the client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c
discontinuation of service provision under the regulatory sandbox ; (c) After consideration, the SEC has the following opinions: 1. there is a reason to believe that the provision of services cannot solve a problem
decisions accurately; (b) protection of the service user’s confidentiality; (c) handling of the service user’s complaints; (d) sufficient management of information technology risk and cyber risk by giving an
dated 3 November 1998; (2) Notification of the Office of the Securities and Exchange Commission No. SorNor. 18/2542 Re: Rules on Protection of Conflict of Interest on Investment or Holding of Securities
securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from
the business of the other party and the nature of such controlling power shall be depicted; and (b) The party that owns the funds does not want to obtain the legal protection under the provisions
give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
[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 unattended