prescribed by the Office to the Office within seven days from the date on which the respondent receives the name list. If the Office is of opinion that there is a reasonable ground for the challenge, the
list. If the Office is of opinion that there is a reasonable ground for the challenge, the precedure under (1) and (2) shall be applied mutatis mutandis until the selection of the arbitrator from the
The SEC conducted public hearings on the regulations on the application for approval, the granting of approval for the association, and disclosure of information thereof during April – May 2023
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
opportunities for established and potential business operators to maximize the use of FinTech in developing financial and investment services with less legal limitations and more efficient information access.SEC
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
Acquisition or Disposition of Securities ( 286 ) SEC_News ( 238 ) List of Approved persons / Licensees ( 228 ) Enforcement ( 195 ) Form 59-1 / 59/2 ( 152 ) Derivative Warrant Prospectus ( 100 ) Finanacial