complex capital market products, and [ii] supported by written materials and nformation; (4) advise on the client’s suitability for investment in or entering into transaction of risky or complex capital
deal with having conflicting demands on time from clients and/or management responsibilities and how are they supported? 2 How does the firm ensure that partners have sufficient time needed to maintain
securities business, derivatives business or any other business of financial service or participates or supports or having participated or supported such act of other person; (2) there are reasonable grounds
repealed. Clause 2 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to capital market. “ approved person ” means a person who is
regulations: Clause 1 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
for experimenting and developing an innovation in a controlled environment to support provision of services related to capital market. “ approved person ” means a person who is approved by the SEC
practicable to employees of the securities company, including those entrusted by the company. Also, the procedures shall accommodate non face-to-face contact with the clients and the use of new or developing
prediction hypothesis is reasonable and well-supported by clear explanations. In preparing disclosure of the annual registration statement in the following year, the Company shall clarify if and how the actual
. “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish and having registered