measures cover actions like blocking new mule accounts, detecting irregular customer behaviors, and inspecting and taking action against digital asset trading accounts that may constitute mule accounts
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
the ZipUp+ program, while the SEC was collecting and examining facts related to the business operation of Zipmex. Following the collection and examination of the facts aforementioned, the Competent
. Pursuant to the amended rules, the approval process is now divided into two steps, namely: (1) examining the qualifications and appropriateness of the required work systems according to the application
guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List
Form for Examining Information of Persons who the Securities Company will Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List of Information Intend to
Securities and Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will Appoint as Executive Report/Form (Notification of Securities and Exchange Commission