and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing
service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for
regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4
areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and
Companies shall conduct an assessment on risks and possibility of major operational disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or
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
complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress
the process of liquidation as deemed appropriate. The liquidator shall also submit to the Office a monthly report on the progress of liquidation until the liquidation is completed. The provision under
and procedures for engagement supervision? which include: (a) Tracking the progress of engagement. (b) Considering the competence, capabilities and experiences of individual members of engagement team
information for the following purposes prior to providing services: (1) knowing the client ; (2) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of