; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions
from the approval date; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the
nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
show the possibility of providing innovative financial services, including the research results on potential risks from the regulatory sandbox ; (8) having no record of violating or failing to comply
research results that show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to
negotiation takes place. In the case where a complaint on such advice giving or negotiation and the handling thereof has not completed within such period, the securities company shall maintain the records of
Office of the Securities and Exchange Commission relating to the handling of customer’s complaint, as the case may be, and it appears the fact that; 1. the claimant is not contacted by the complaint
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
business value chain 3.2.1 Business value chain Describe the characteristics of the business value chain that show the relationship of the key stakeholders with the activities related to business operation
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and