Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
revision specifies that retail investors and investment management organizations for individual investors must collectively hold at least 50 percent of the total investment units sold, and at least 25
market services.In carrying out the mandates and tasks under the Strategic Plan, the SEC has adopted the Innovative Organization Plan to strive for becoming a reliable high-performance organization, with
about mutual interest. The SEC discusses with business operators on a continuing basis and mandates public and stakeholder consultation before issuing or amending regulations and guidelines. This is to
specifies that digital asset business operators establish measures for controlling and keeping clients’ digital assets securely or deposit clients’ digital assets with a third party custodian who is fully
markets. The draft notification also specifies the details of the service agreements, for example, the provision on receiving client orders, where the business operators and the clients can agree on the
specifies the standard action whereby all parties suffering damage from wrongdoings of the same facts and legal issues become members of a class action automatically except for those who choose to opt out
prevent holding company from having characteristics similar to investment company, the SEC specifies that the size of core business and other businesses that holding company holds shares, when compared with
ACL Securities Co., Ltd.were considered a contravention of the SEC Office Notification concerning financial advisor approval and scope of business which specifies that financial advisor supervisor must