action as the SEC Office deems appropriate. If any event under the first paragraph occurs and there is an urgent need to protect or alleviate potential damage or if the derivatives business operator fails
state the resources available. If no, How does the firm deal with this situation? Do the firm have technical panel to resolve and give consultations related to Accounting and auditing issues? If yes
appoint a panel of three arbitrators in the statement of claim, and the respondent may indicate his intention whether or not to agree to have three arbitrators in the counterclaim under Clause 10. In cases
technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
imposed by management (paragraph........). ( 4.2 Multiple uncertainties with potential interaction of the uncertainties and their possible cumulative effect on the financial statements (paragraph
appropriate audit evidence regarding each of the individual uncertainties, it is not possible to form an opinion on the financial statements due to the potential interaction of the uncertainties and their
operation; (4) not being ordered by the Securities and Exchange Commission, the administrative panel or the Office to suspend or restrict its operation, or not being ordered by the Securities and Exchange
potential, and the names of competitors (only in the case of duopoly or oligopoly). 2.3 Procurement of products or services (a) Describe an overall procedure for procuring products for sale during the past
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
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