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Business undertaking by adding License Type E for securities business intermediary for equity instruments and Private Fund License. This will facilitate license application in line with business operators
SEC has plans to review the criteria relating to the report form of the securities and derivative business operators to accommodate the change in financial reporting standards - financial instrument that will be effective from 1 January 2020. The report form will be revised to be in line with the financial statement form which has recently been revised. In addition, SEC considers it reasonable to increase the flexibility in submitting the report to be in line with the operation procedu...
Providing Compliance Unit of an Intermediary
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary