Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures

procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and

economy or the national security or peace and order or the morality of the public, a license for establishment shall be issued and the association related to securities business shall be registered. Clause

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

Office on a continuing basis; (e) having a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a specific scope of services to alleviate material impacts

continuing a relationship, which should be discontinued. 7 Does the firm have any particularly risky clients or risky industry (e.g. Finance and Securities, Banking, Insurance, Energy & Utilities, Mining

it is no use continuing the mediation, the parties shall notify the Office to terminate the mediation or the Office may order to terminate the mediation, as the case may be, and then the parties shall

Continuing Professional Development for all principals and staff? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its

innovative development, products and/or services or the business model (if any). The objective is to demonstrate the Company’s continuing development to serve the needs of the stakeholders and to make