continuous basis. The implementation of the plan will optimize the balance and lay down a solid foundation in the entire system, rather than focusing on stringent oversight on the third line of defense as
reflects ultimate controlling persons and enables such operators to maintain credible major shareholders, as well as to ensure consistency in the supervision of businesses under the SEC’s oversight. In
13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which
from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with
explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on
instruction to the date on which the applicant has given the explanation or submitted further documents in full, shall be excluded from the periods specified under Clause 5. Clause 7. A licensee of gold
company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place
function relating to trustee services, trustee operation, oversight of trustee operation or other similar business functions; (b) Business function relating to securities services, securities operation
professionals on 1-2 November 2021 in various countries have expressed views and laid out guidelines for digital asset oversight that vary in degree of strictness. We take this opportunity to organize the 1st