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grade, as well as some that remain unrated, on which SEC regulates strictly to protect the investors.Furthermore, the SEC has been closely following the issuing and sale of private bonds. Since June
inspections on the company’s business undertakings in its capacity of private fund management as licensed under Type C Securities Business License, it was found that the company: (1) had presented false and
e-service Online Submission See canceled document Business Operation Rules >> Selling Agents (Section 100) Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and