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
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
should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out on behalf of the client , or [ii] providing inappropriate services to
discontinuation of service provision under the regulatory sandbox ; (c) After consideration, the SEC has the following opinions: 1. there is a reason to believe that the provision of services cannot solve a problem
an efficient and ready work system for providing services as securities registrar will be put in place, considering the preparation, data processing and storage, and reporting of service provision; (4
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the
be as set out in Chapter 2; (3) Specific Provisions related to Providing Services of Outbound Products shall be as set out in Chapter 3; (4) Service Personnel shall be as set out in Chapter 4. Clause 6
Debentures Denominated in Foreign Currency shall be as set out in Chapter 2; (3) Specific Provisions related to Providing Services of Outbound Products shall be as set out in Chapter 3; (4) Service Personnel
) readiness of the service provider in case of providing services for many intermediaries ; (e) record of complaints or litigation in matters relating to the function to be outsourced; (f) relationship with