companies and executives, and (3) market force. In so doing, the SEC is cooperating with agencies and organizations, both public and private, to strengthen supervisory standards and common practice guidelines
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to appoint new personnel having qualifications as specified in Notification of the Capital Market
operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval
e-service Online Submission See canceled document Investment Advisory >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Derivatives Advisors >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Limited BDU >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Business Operation Rules >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital
e-service Online Submission See canceled document Business Operation Rules >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital
e-service Online Submission See canceled document Business Operation Rules >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital