operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch | - |- Outsourcing Services | - |- Joint Management
to the condition that the issuers must not accept the tokens for staking purpose, except the staking for voting, joining the event, or sharing benefits from the ecosystem activities, and must not use
, the suspension thus ends concurrently. In this regard, the SEC will not accept her future application for approval as capital market business personnel, starting from 31 March 2021 until the original
would typically fall under this category.] ▪ Investors who seek returns equivalent to bank deposit and accept lower returns than investing in a typical fixed income fund. ▪ Investors who seek liquidity
: (1) arrange to have a computer set where customer can submit a securities’ trading instructions by themselves; (2) accept a securities trading account application and forward the application to head
submit a securities’ trading instructions by themselves; (2) accept a securities trading account application and forward the application to head office or a full-service branch office for approval; (3
following duties: (1) arrange to have a computer set where customer can submit a trading instructions for derivatives contract by themselves; (2) accept a derivatives trading account opening form and forward
themselves; (2) accept a derivatives trading account opening form and forward the application to head office or a full-service branch office for approval; (3) accept or deliver money or securities by