Office. (4) giving advice through any media or at any seminars where the media owners, program owners, columnists, website hosts or seminar organizers arrange for derivatives advisers, being natural
hosts or seminar organizers arrange for derivatives advisers, being natural persons or natural persons approved by the Office and acting under responsibility of derivatives advisory service providers, to
hosts IOSCO APRC Meeting during 9-11 March 2021 as sustainable finance, market fragmentation, supervisory cooperation, and digital assets and cryptocurrency including investor protection perspectives
SEC has revised regulations regarding outsourcing, to provide more opportunities for business operators, such as, securities business providers, asset management companies, and derivatives business
Following the earlier public hearing in late March, where the majority of business providers had expressed their approvals towards the guideline suggested by SEC. Therefore, SEC had then proposed a
Following the earlier public hearing in late March, most business providers had expressed their approvals towards the guideline suggested by SEC. Therefore, SEC had then proposed a draft regulation
countries around the world. A large number of investors have become targets of these scams, which are increasingly sophisticated and widespread, often spreading through platform service providers. Recently
product. This new regulation allows service providers to use the single form with investors of any products while reducing investors’ burden of filling in repetitive information when opening a new
brokerage business, securities dealing business, securities underwriting business, mutual fund management business and securities borrowing and lending business (SBL); (2) KYC providers, gathering and