extension of opening hours or the opening on holidays as requested by the securities company. Clause 6. The securities company may extend the opening hours or open on holidays for the service of mutual fund
as a cause for dissolution: (a) expiration of the license period under the regulatory sandbox in Paragraph 2 of Clause 5, or expiration of the extension period under Paragraph 4 of Clause 5, as the
obtaining an approval to appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the
status may cause damage or having any circumstance which indicates an ongoing financial problem; (3) there is no reasonable grounds to believe that there is a defect or inappropriateness relating to the
the services prior to expiration or an extension is granted to the participation period on the condition that the approved person submits an application together with the evidentiary documentation to
Notification concerning Maintenance of Capital within thirty days from the day it is or ought to be aware of the failure to maintain the capital, unless extension of such period is granted by the SEC Office on
prior to expiration or an extension is granted to the participation period on the condition that the approved person submits an application together with the evidentiary documentation to the SEC Office no
and reporting of defect, efficiency and overall conditions of cloud service; (5) define clear roles and responsibilities of the cloud provider on the data backup, defect resolution process, service
Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in relation to sources of funds used