check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The

ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no longer necessary. Under the current regulations, only 33 reports can be submitted via electronic means. After the

the deficiencies of its work systems within deadline, and ordering Huobi to return assets to clients as per their request. Huobi requested extensions of deadline many times and the SEC Board granted

he received together with penalties. The investigation also revealed that during the client made the request for selling of investment units, {A} was serving another client. Without making any contact

time they open a new account. The single form helps to solve such issue. In addition, investors may request the current service provider who has a compatible system to send the account opening

the matter carefully and exercise the voting right to protect own interest. They should also request NBC’s executives to clarify and answer questions in order to gather comprehensive information

rehabilitation petition on 29 January 2024. If the Court issues an order for the rehabilitation of JKN and appoints a rehabilitation planner, the bondholders must submit a request for debt repayment to the

management company may request a relaxation on the following matters: (1) Appointment of fund​ managers as approved by the SEC. (2) Preparation of and submission to the SEC a report on fund managers' starting

without having to request for approval and submit filing.  However, the company must comply with the following conditions: TSR is for a period of not more than two months. The duration of last exercise of

of Mutual Fund >   Relaxation of rules Regulations SHARE : Detail Content ​Management of Mutual Fund 20. Relaxation of rules A mutual fund management company may request the SEC's for relaxation of the