regard, the SEC advises investors currently using these platforms to take steps to secure their assets before the access restriction takes effect. The SEC advises the public and investors to be cautious

financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to

. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business

restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the

orders in large volumes. The practice may aim to mislead other investors by creating a false impression of escalating bid or offer demands at a given time, or it may be an obstruction to the buying or

or offer demands at a given time, or it may be an obstruction to the buying or selling activities of other investors, consequently compelling them to send trading orders at prices higher or lower than

person under consideration; the penalty he/she has already served; the impacts, loss or benefit incurred; any steps taken to rectify past conduct; the cooperation or obstruction with SEC’s investigation

past conduct; the cooperation or obstruction with SEC’s investigation; and any previous record or past behavior which indicating that the subject person is not fit and proper to work in capital market

fund but offer  more flexibility and impose less restriction; for instance (1) company with expertise in real estate investment and management is eligible to participate in REITs establishment and