commencement of the outsourcing arrangement. The SEC ' s consideration factors include the qualifications of service provider, personnel, operating system and financial status. The consultation paper is
warnings to clients of DA operators* with the following salient features. (1) DA operators shall disclose the risks in relation to the appraisal of their financial status, storage of clients
e-service Online Submission See canceled document Derivatives Agent >> Net Liquid Capital Rule (Section 49) Type Title Section See Document Status Notified Date Effective Date 1. Circular SEC
Diligence (KYC/CDD) and credit line review practices, particularly for those clients who have traded securities under cash balance rule or inappropriately transferred their securities to raise credit limits
e-service Online Submission See canceled document Business Operation Rules >> Net Liquid Capital Rule (Section 97) Type Title Section See Document Status Notified Date Effective Date 1. Act
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
e-service Online Submission See canceled document Derivatives Dealer >> Net Liquid Capital Rule (Section 49) Type Title Section See Document Status Notified Date Effective Date 1. Notification of