Custody of Assets of Clients by Securities Companies (No. 3)
Custody of Clients’ Assets by Securities Companies (No. 4)
Custody of Assets of Clients by Licensed Derivatives Brokers
Custody of Clients’ Assets by Securities Companies (Codified)
During April – May 2023, the SEC conducted a public hearing to seek comments and suggestions on the proposal to amend the regulations governing the optional systems of digital asset business
Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
Rules, Conditions and Procedures for Approval Concerning Registration of Client’s Assets (No. 2)
Custody of Assets of Clients by Licensed Derivatives Brokers (No. 3)
Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)