relating to securities to be used in advising or disseminating , whether directly or indirectly, on the value of securities or the suitability of investing in such securities; “securities investment analyst
the giving of information or advice to the clients under Clause 13. The form and procedure for informing the names of the foreign personnel under Paragraph 1 shall be as set out on the website of the
the arrangement, except for the giving of information or advice to the clients under Clause 13. The form and procedure for informing the names of the foreign personnel under Paragraph 1 shall be as set
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
law. (2) the intermediary who has maintained capital under other notification concerning the maintenance of capital; (3) the intermediary which has ceased its business according to the notifying letter
examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking of the applicant’s business within the period of 3
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules
countries; (2) notifying regulations regarding the giving of advice complying with law concerning securities and exchange to the foreign securities business operator ; (3) notifying name and address of such
virtue of duty performance. (2) notifying the service user that the provision of services is in accordance with the regulatory sandbox , which contains limitations, risks and conditions different from the
performance. (3) notifying the service user that the operation is in accordance with the regulatory sandbox , which contains limitations, risks and conditions different from the operation of the business