procedure for establishment and management of mutual funds, the SEC plans to introduce an auto approval process for plain vanilla funds, which have no complicated features such as investment in derivatives
corporate bond business that is usually subject to high costs and time-consuming, complicated processes. The DLT platform can reduce costs and increase efficiency, transparency and competitiveness of
capital market are complicated and finding the evidence is difficult, especially electronic evidence which requires assistance from specialized agencies. Therefore, this cooperation between SEC and the
by taking advantage of client information for personal gain. His unethical practice involved front running of online securities trading executed from his office computer for his relative?s account
-sized businesses still need to look for opportunities to access funding channels to keep their businesses running and supports to get them through the crisis. Since today’s ever advancing digital
addressed by everyone. As a result, those who fail to seriously emphasize on adopting the said practices will face the difficulty in running businesses in the future.
evaluating fund manager?s capability. For more complicated funds such as foreign investment funds (FIF), a special working group will be established to work on the benchmark and related matters in due time; 4
will help business operators realize that issuing shares, debentures, or other types of fundraising through the capital market is not too complicated or costly. Rather, it will be alternative fundraising
regulators. The revision also requires that rating of products with complicated features, including plain and tranche securitization, be attached with a special symbol. ?The global financial environment is