firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back

the Office or no longer works for the securities company which has submitted the application for approval in case the investor contact has obtained approval through such qualifications. Chapter 4

where the claimant does not make correction or addition within such period of time, it shall be deemed that the claimant no longer intends to proceed the arbitral process and the Office shall terminate

regulations for a period of no longer than 2 years on the application date or, if more than 2 years, having attended a training course of the training institute accepted by the Office for a period of no longer

number of eligible service users; (6) specifying a period of participating in the regulatory sandbox to be no longer than one year as from the approval date; (7) having the study or research results that

company cause the relevant executive or personnel who is responsible for such non-compliance to leave so as such person is no longer be related with the management company. Clause 6. The Office shall

total investment money of all clients generated from service provision (if any). (4) specifying a period of participating in the regulatory sandbox to be no longer than one year as from the approval date

each client and the total investment money of all clients generated from service provision (if any). (4) specifying a period of participating in the regulatory sandbox to be no longer than one year as

service provider terminates contract or the service provider can no longer provide service for derivatives broker. Clause 10. Derivatives broker shall require service provider to keep, complete and update

longer provide service for securities company . Clause 8. Securities company shall require service provider to keep, complete and update documents and evidence of service provider. Such keeping shall be