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
) review of suitability of (1). In the case that the intermediaries have fully complied with the Guidelines under the first paragraph, the SEC Office shall consider that the intermediaries have already
of customers, the target customers, the project value, the sale and construction progress, etc. Describe the research and development policy in areas and specify the details of the process of
Company is advised to consider the guidelines, manual or disclosure checklist in Form 69-1 available on the website of the SEC Office. In this regard, the Company may also use the guidelines, manual or
and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit
handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
, equipments, assets and place of business of companies, financial status, customer’s trust and company’s reputation, as well as a compliance to governmental regulations. Also, it should consider to wide impacts
legal copyright. [M] 7. Capacity planning. · Providing an assessment the importance computer system in advance for compliance support in the future. [M] 8. Virus prevention and malicious code. · Providing
respective rights thereof as well. In the event that the Company or a subsidiary undertakes a property development business, clarify the characteristics of each ongoing significant project such as the project