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The content and procedures of assessment of legal compliance set by securities firms must comply with the "Regulations Governing the Establishment of Internal Control Systems by Service Enterprises in Securities and Futures Markets" ("Regulations") and these Directions. These Directions provide for the minimum requirements and standards for the content and procedures of assessment of legal compliance to be established by securities firms, and securities firms shall, taking into consideration factors such as the business scale, nature of the business, organizational characteristics etc., establish the content and procedures of assessment that at least meet the standards under these Directions, and make adjustments and amendments accordingly in the event of changes in laws and regulations.
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