guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4

to clients’ predetermined instructions as advised by securities brokers. ** The securities analysis and investment advisory to design a portfolio advisory that shows

SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with

etc. 3. Table summarizing financial status and performance of IPO shares, before and after getting listed on the Exchange.  Further information as well as instructions for accessing the “IPO Fact Figure

to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87

gratuity to the informer or the arrestor regarding the offences of insider trading or market manipulation to enhance enforcement efficiency.  The proposed regulations provide instructions for giving

consideration on persons entitled to apply for bounty, procedures and instructions for filing an application and bounty payment as well as handling of unclaimed bounty, for example. Nevertheless, commission or

investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being

guidelines for offering and operating digital assets businesses, at the SEC Office on 23 February 2024.

meeting aimed to communicate the expectations, revised regulatory framework, and the operational guidelines for the compliance unit of ICO portals. Approximately 30 participants attended, including senior