prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty and
controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a
managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a
shall have a know-your-client and client due diligence procedure and ensure that the derivatives dealer is engaging solely with clients as defined in Clause 6. Additionally, the derivatives dealer shall
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the
strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a limited scope of operation to alleviate material impacts or damage on investors or the overall capital market
by the Office. 2. Scope of activities The scope of activities must relate to the skills and knowledge useful for performance of duties as investor contact including: 2.1 Business-related knowledge e.g
services within the scope of each type of license granted to the intermediary ; (2) To arrange for clients to access the information prepared by the foreign intermediary or the issuer or the offeror of such
services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide services within the scope of each