Custody of Assets of Clients by Licensed Derivatives Brokers
Custody of Assets of Clients by Licensed Derivatives Brokers (No. 3)
Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund
Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
and financial literacy. The SEC Open House was not only attractive and stylish but comfortable enough for all visitors to make themselves at home. We obtained a very warm welcome from investors and the
The Securities and Exchange Commission (SEC) organized the Compliance Relations 2024 Event with asset management companies and limited brokers, dealers and underwriters (LBDU), including banks
experiences in overseas investment. Under the proposed regulations, derivatives brokers must have infrastructure in place to render service to retail investors to trade derivatives on foreign derivatives
collaterals in margin accounts have experienced price volatility and declines due to various factors. When stock prices drop, the value of the collaterals is subsequently affected, leading brokers to forcibly
save and invest earnestly in order to meet life goals and have comfortable and secure retirement. The SEC always takes an active role to promote financial literacy for people from all walks of life