otherwise, and shall include a person having entered into an agreement for full or partial power of management. Clause 2 The operation under a regulatory sandbox of a person who is approved by the SEC Office

regard, the information shall also cover the following matters: 1.1.1 Overview of the vision, objectives, goals and business strategies of the Company or the group of companies, as specified by the Board

, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who

should be prescribed. 4. Criteria for selection of personnel for each unit shall encompass the educational background and related work experience. Such personnel should not have record in violation of the

information shall cover at least the following matters: 1.1 Vision, objectives, goals and strategies Provide as much information as deemed appropriate on the vision, objectives, goals and business strategies of

Clause 2(2) must cover all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient

irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of

include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for

specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among

legal entity; (4) Being able to show that person who is director, manager or person with managerial authority being responsible for the applicant’s undertaking of derivatives business has qualifications