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
repealed.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
a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC
business growth rate in 3-5 years 2. The executive should prescribe key policies in supervising the undertaking of fund management business in writing with an approval from the board of directors of the
Office of the Securities and Exchange Commission The Association means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business
policies and procedures 2 Does the firm have channels for firm personnel to raise any concerns in a manner that enable them to come forward without fear of reprisals? If yes, please describe 3 Does the
. “ 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