the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures indicate that it is acting as a business unit
suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
|- Anti-fraud Provisions (section 98(3)) |- Forward Transactions/OTC Equity Derivatives Transactions (section 98(4)) |- Securities Borrowing and Lending (section 98(5)) |- Short Sale Provisions (section 98
The provisions proposed to be added are as follows: (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If
and introducing provisions for Digital Infrastructure Main Operator; (2) Supervision of Securities and Derivatives Business Operators: revising regulations for major shareholders of business operators
The Draft aims to improve legal provisions to be more suitable for the current situation, as well as to accommodate future technological advancements. It also ensures the legal effects of electronic
that facilitates market innovation, and enable market practitioners? self-regulatory functions. The proposed amendments will revoke all provisions on associations related to securities business currently
issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2014. Chapter 1 General Provisions Clause 2 In this Notification, application form and the tables attached