securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
recording system for phone orders. Investor contacts, meanwhile, must take and keep complete and accurate information on their clients orders. And investors themselves must not ignore securities firms
holding other company?s stocks ("holding company"). The amended regulations specify that holding company must hold shares in its subsidiaries that are categorized as its core business (either established in
from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of
. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies
Zipmex to act in the best interest of its clients and in readiness for facilitating their asset withdrawal transactions. In this connection, to keep Zipmex’s investors updated and accurately informed about
) for colluding to make false entries and/or keep incomplete, incorrect or inaccurate accounts in JKN’s financial statements for the year 2023, and accounting documents for the first quarter of 2024 to
-sized businesses still need to look for opportunities to access funding channels to keep their businesses running and supports to get them through the crisis. Since today’s ever advancing digital
review of the existing laws and regulations. The reviewed laws and regulations that are no longer necessary or do not keep pace with situations or remain obstacles to living or occupations will be
existing laws and regulations. The reviewed laws and regulations that are not necessary or do not keep pace with situations or remain obstacles to living or occupations will be abolished or revised to