6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this
anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this Notification, the anti-money laundering legislations
aspects of existing rules may need to be reviewed. Therefore, the SEC would like to propose a regulatory approach on ICO and seek public comments to ensure appropriate regulatory responses. 4 II. Regulatory
2025, as requested by derivatives brokers on the previous business day, from doing so within the specified timeframe. In such case, derivatives brokers must follow up with their clients to ensure that
: Rules, Conditions and Procedures for Undertaking of Digital Asset Businesses, as amended; (2) Revise the management and personnel structures to ensure proper and adequate structures for conducting
blueprint is the result of thorough analysis and re-adjustment of focus. Each issue will be explored to the core with stakeholders? interest in mind to ensure right-to-the-point, effective problem solving
services to ensure that any investment of the client shall be within the allocated investment limit under (1). Chapter 2 Specific Provisions related to Providing Services of Inbound Products Which Are
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities