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

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

Notification on Standard Conduct of Business , an intermediary shall operate a system for communicating with and providing services to clients pursuant to the details in this Chapter. Clause 5/2 The provisions

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

communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC

company’s business operation; (8) “ investor contact ” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities

. · Backup and IT Contingency Plan. · Computer Operation. · IT Outsourcing. 3. Compliance of policy. · Announcing and communicating to concerned person thoroughly for the purpose of compliance such as training

, cover the following issues: 8.2.1 Procedures for communicating with relevant persons, correctness and modern of name list and contact data. 8.2.2 Procedures for evacuating employees or moving personnel to