pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
related to participation in a regulatory sandbox . The SEC Office shall consider the application for approval to participate in a regulatory sandbox under Paragraph 1 within sixty days from the date of
regulations or conditions related to participation in a regulatory sandbox . The SEC Office shall consider the application for approval to participate in a regulatory sandbox under Paragraph 1 within sixty days
and services for customers, and participation in social and community development. In this regard, clarify only the information on the overall policy and guidelines as the Company deems important and
comply with the regulations or conditions related to participation in a regulatory sandbox . The SEC Office shall consider the application for approval to participate in a regulatory sandbox under
· Understanding of, and practical experience with, engagements of a similar nature and complexity through appropriate training and participation · Understanding of professional standards and applicable legal and
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
with the regulations or conditions related to participation in a regulatory sandbox . Clause 3 The agreement for establishing a securities trading center under Clause 2(2) shall contain at least the
the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the