example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to
linked to law relating to trade associations. In substitution for the revoked provisions, new provisions will be proposed to accommodate the formation and operation of SROs as well as organizations of
and Form 69-1. The revised forms take into account compliance with the new Corporate Governance Code (CG Code), which was jointly introduced by the SEC and relevant capital market organizations earlier
proposal aims to provide adequate mechanism to support the upcoming liberalization of securities business and promote new financial products which the business operators may expose to compliance risk
market personnel including new types of capital market personnel required to obtain the SEC?s approval due to their vital responsibilities having high impact on the clients. The approval will be applicable
out derivatives positions before reaching expiry dates and open new positions of next trading series. The client also allowed her to make trading decision; however, did not clearly specify details of
, 2013 on their impression in information, activity and service offered by the booths, the ?SEC Investment Academy?, a source of knowledge for new investors, drew most votes for ?The Best Information Booth
consultants after a hearing on the principles for revisions of approval regime was launched earlier. This aims at elevating standards of professions and allowing opportunity for the increase of new market
suitability test as well as videos, to create joyful learning experiences. In the future, a variety of activities will be organized including contemporary exhibition on new development in the capital market.
underwriters. The proposed new rules cover the addition of municipal bond as securities, and filings in English version when foreign securities are offered, and the prohibition imposed to underwriters, their