investment consultant for complex instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types. Ex
guidelines for prevention and suppression of crimes, especially with regard to proactive working approach for all types of offenses under supervision of the SEC. Our collaboration will also involve support for
SME. The main purpose of this seminar is to raise SMEs’ awareness about the role of capital market and how to access funds in capital market through various types of financial instruments. We view
, two audit and financial report projects, and one digital technology and corporate excellence project. Actions taken include: (1) Repealing the requirement for submission of the Summary of Types
receive, which the investors can compare this information in the factsheet of each fund. The investors can also consult investment advisors to help analyze the information. Moreover, other types of
all types of complex, non-complex and high-risk capital market products.
operators must be the financial institutions under the Anti-money Laundering Law. The SEC may exempt the requirements for certain types of digital token offering or digital asset businesses. In case of law
the offering of newly issued shares at a price lower than the market price to be consistent for all types of offering, and is therefore proposing to revise the principles for ESOP of repurchased shares
) Haircut rates on position risks of certain types of instruments will be adjusted while additional haircut rates for position risks for shares traded on the LiVE Exchange and depositary (LiVE Exchange) and
on all types of complex, non-complex and high-risk capital market products, e.g. investment units of mutual funds offered to institutional or ultra-high net worth investors, investment units of