follows: (1) To categorize licenses by business types instead of product types, grouping businesses with similar risk profiles together. This approach would give businesses more flexibility in applying
The SEC has endorsed the concept of regulatory enhancement regarding issuance and offering for sale of sustainability-themed bonds* to give opportunities for businesses of all sizes including SMEs
that rationale is not the only factor influencing investment decision making while the regulator should put in place proper regulations to protect investors and provide appropriate investment
use the amount in excess of the limit to reinvest in new securities. The move is expected to help slow the rise in US Treasury yields and mitigate potential volatility in financial markets worldwide
offered employee?s choice scheme to provide investment alternatives to their members, or a rise of 89.7% over year-end 2010. This is a part of the SEC?s policy to support companies and organizations in
units, of which their functions constitute or may give rise to conflicts of interest, from other units and personnel, and specifying the work procedures of those units and personnel for preventing
these amendments is to require advertisement and disclosure of trigger funds to be more inclusive to give investors a clearer picture of this type of fund so that they would have correct and complete
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
website in the form of community web board shall not be liable to presenting oneself to the general public as being ready to provide services as investment advisor or derivatives investment advisor on the