caution when allowing unlicensed business operators to set up exhibition booths, as this may inadvertently facilitate illegal activities.   The SEC has been monitoring and observing events or exhibitions

, including those from foreign countries, as they are not under the SEC’s supervision and may pose a risk of fraud and scams. Concurrently, the SEC urges event organizers to exercise caution when allowing

On 17 September 2021, the SEC sent a circular to all listed companies advising listed companies that invest or plan to invest in digital assets to exercise discretion in making decisions regarding such investment. This is to prevent material impacts on the companies’ financial position or operating results as digital asset investment is usually exposed to relatively high risk from price volatility. In addition, the SEC reiterates that listed companies should take action and consider various fact...

margin loans and the loans to any particular client to ensure greater caution;   (3) To establish a concentration ratio for the securities used as collateral by each customer, ensuring it does not exceed

proposed regulations will no longer limit types of business operators permitted to provide services in foreign currency denominated products; accordingly, all business operators will be able to provide such

products denominated foreign currencies. The revised regulations will allow business operators to provide services in foreign currency denominated products as permitted under their licenses.  In addition

An intermediary shall not do any operation constituting conflict of interest as prescribed in Clause 16 unless it is permitted as prescribed in Division 4 of this Chapter. Clause 20 An intermediary

urges the private sector to exercise caution and refrain from using response letters in such manner.In any case, the SEC’s response letters to inquiries may contain facts that have changed or are specific

for purchasing shares of a company higher than actual value causing damage to POWER. Additionally, he permitted others to falsify entries in the accounts and documents of POWER. On March 30, 2015, the

.  In addition, inception of mutual funds for non-retail (MF for non-retail) will no longer be permitted to avoid repetition of mutual funds for accredited investors, selling units to institutional and