communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each
fees and expenses; (14) dissolution of mutual fund. Clause 4 The particular on the specific characteristics of mutual fund shall contain summarized details of mutual fund as follows: (1) name of the
The Secretary of the Securities and Exchange Commission The company clarifies cause and reason if relative performance of a particular company varies more than 20% compared to previous year; we hereby
. (2) Any securities company, which ceases to undertake any particular category of its business or ceases any particular transaction which requires reporting, and when the Office has received notice in
when such securities company has resumed its business operation with the approval from the SEC or the Office. (2) Any securities company, which ceases to undertake any particular category of its business
such securities company has resumed its business operation with the approval from the SEC or the Office. (2) Any securities company, which ceases to undertake any particular category of its business or
multiple dimensions. In particular, we have developed preventive measures and industry standard that will help prevent the conversion of victims’ money into digital assets via mule accounts. Several