every days. Clause 4. Unless otherwise prescribed in Clause 6, the securities company shall open on different hours and days as indicated in Clause 3(1) within the following rules: (1) in case of

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

, risks and conditions different from the provision of services by licensed securities business operators, and that the client’s consent is required prior to provision of such services; (4) make an

limitations, risks and conditions different from the provision of services by licensed derivatives business operators, and that the client’s consent is required prior to provision of such services; (4) make an

performance. (3) notifying the service user that the operation is in accordance with the regulatory sandbox , which contains limitations, risks and conditions different from the operation of the business

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

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

) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and staffs

different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor

to be open on different hours or close on different days. Therefore, in order to clarify rules on granting permission to a management company to establish a branch office together with serving