amendments to the handling of conflicts of interest rules to improve efficiency of the securities offering process, which include preventive measures and disclosure measures to support investors
, such as notifications regarding handling of complaints or maintenance of capital/financial status.SEC welcomes and will take into consideration more public comments which may be related to
allow asset management companies to use own discretion in handling such fund transfer more flexibly while maintaining tax benefits for investors of such funds on a continuing basis.The key points of
complaint handling procedures and will notify him of the consideration.
consideration on persons entitled to apply for bounty, procedures and instructions for filing an application and bounty payment as well as handling of unclaimed bounty, for example. Nevertheless, commission or
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an efficient complaint handling system for the settlement of dispute, such as act in
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and