Diligence (KYC/CDD) and credit line review practices, particularly for those clients who have traded securities under cash balance rule or inappropriately transferred their securities to raise credit limits
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professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in
effect on 16 March 2020.”Previously, some crowdfunding projects did not succeed as they did not fully meet a targeted fund-raising amount. According to the All-or-Nothing rule, such projects would not
- Financial instruments standards by adjusting the cumulative effects to retained earnings and other components of equity on 1st January 2020. Therefore, the Group did not adjust the information presented for
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best