and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing

service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for

regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4

company licensed to undertake securities businesses under the law on securities and exchange; (7) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing

managing 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

: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from

3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5

work for such persons to have full or partial managing power in the securities company.

” means a prospectus which is identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading

and operating systems, as specified in details in Chapter 3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing