authorization before beginning any other activity.The SEC therefore proposes to amend the rules governing the undertaking of other businesses according to the resolution of the Capital Market Supervisory Board
have a written authorization from investors only.__________________Notes:* Pursuant to Clause 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1
authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as
authorization from his client and made SBL trading decisions for the client when there was profit or risk with the client's account. He then informed his client via telephone with regard to the profit and loss on
and ethic as well as deny any clients? authorization to trade securities or derivatives on their behalves."
member jurisdiction to offer CIS constituted and authorised in that jurisdiction ("ASEAN CIS") to retail investors in other member jurisdictions under a streamlined authorization process. The signatories
issues this Notification of Guidelines, as follows: Clause 1 The Guidelines deal with the following matters: (1) establishment of policies, measures and operating systems relating to the governance of
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
(12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with relevant