details, that cover several issues such as personnel readiness, investment management, receiving and delivery of funds’ assets and risk management.SEC has studied the supervision in other countries and
roles, mandates, and service delivery approaches, alongside the application of digital technology and innovation to improve operational efficiency. The content covered fundamental concepts of the
, reliable and efficient operating system to support an intermediary ’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii
guidelines. The rules or practice guidelines under Paragraph 1 shall at least include the following matters: (1) receipt or delivery of clients’ assets ; (2) keeping of records of clients’ assets ; (3
practice guidelines under Paragraph 1 shall at least include the following matters: (1) receipt or delivery of clients’ assets; (2) keeping of records of clients’ assets; (3) management of information
obligations thereunder. Unless a party is able to offset its position before the settlement date, the seller of futures is obliged to make and the buyer is obliged to take delivery of the underlying asset of
by means of exchanging in-kind for delivery; (3) being short selling of ETF units by means of purchasing such securities from foreign exchange for delivery; Short selling under sub clause (2) or (3) of
for delivering; (2) being short selling by means of exchanging in-kind for delivery; (3) being short selling of ETF units by means of purchasing such securities from foreign exchange for delivery; Short
Market Supervisory Board in relation to short selling of securities by means of borrowing securities for delivering; (2) being short selling by means of exchanging in-kind for delivery; (3) being short