from transferring or disposing of assets. The SEC will continue to monitor the progress of this case and coordinate with relevant agencies to prosecute to the fullest extent, in order to support the
- retail investors. The greater extent of offering to retail investors will not only widen investment alternatives, but also expand business opportunities for the mutual fund operators and propel integrated
securities firms or derivatives business operators can be done without the SEC?s approval but will be allowed to the extent that it is deemed necessary to increase business efficiency. Importantly, outsourcing
the issuer who is responsible for the information contained in the prospectus. B. Advisers and other parties 1. Provide the names and addresses of – (a) the issuer's principal bankers to the extent the
a regular basis. A securities company shall maintain complete evidentiary documentation related to the operation in Paragraph 1 and Paragraph 2 in a manner ready for prompt retrieval or inspection by
trading of the client shall be updated while the debt-repaying ability and the trading limit of each client shall be reviewed on a regular basis. A securities company shall maintain complete evidentiary
personnel of any management company do not comply with the provisions of this Notification, the management company shall complete the improvement of its work system and personnel to comply with such
complete the improvement of its work system and personnel to comply with such provisions within six months from the effective date of this Notification, as the case may be. Clause 21. In the event that any
the consideration is listed securities, compare the market value of securities or NTA. Whichever is higher will be used for the calculation 3) In case of investment disposal to the extent that a