handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings

within five business days as from the dissolution date of the mutual fund; (2) deliver to the liquidator financial statements, as of the dissolution date of the mutual fund, which are audited and given

complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress

only within the units or departments providing services under regulatory sandbox : (1) securities brokerage business; (2) securities dealing business; (3) investment advisory service business; (4

shall be exempted from being regarded as derivatives business in the following categories during the period of such regulatory sandbox , but only within the units or departments providing services under

securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of

sandbox , but only within the units or departments operating under regulatory sandbox . Clause 3 In the case where a person having the following qualifications intends to participate in a regulatory sandbox

bases in Hong Kong and China . In addition, it provides a tangible progress in building economic relation between Hong Kong and Thailand in accordance with the aforementioned MoU between both governments

details: 5.1 Operational procedures and resposible persons In order that companies are able to restore its critical operational function within a specified period after operational disruption, companies

. a large number of redemption due to panic or the issuer unable to pay the principal and the interest within the prescribed period. Such practices should be reviewed and tested. (6) Having corrective