pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing

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

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

system, covering at least the operational management, compliance management, information management and preparation of competent personnel.

plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient

analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules

person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content covering the

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

factors such as tendency and impacts on the environment and the society, covering respect for human rights and good corporate governance, for the benefit of investors’ understanding and analysis of the