Determination of Fees for Undertaking Business of Licensed Derivatives Exchange
Rules Conditions and Procedures for Undertaking of Investment Advisory Business
Rules, Conditions and Procedures for Undertaking Investment Advisory Business
Work System Related to Business Undertaking of Mutual Fund Management
Determination of Undertaking not Deemed as a Derivatives Dealer
Rules on Undertaking of Derivatives Business for Licensed Derivatives Advisors
Rules on Undertaking Derivatives Business for Licensed Derivatives Advisors
Determination of Fees for Undertaking Businesses According to Licenses
their business, (2) ensure their business continuity, and (3) better address operational risk.Essentially, the draft amendments would allow intermediaries undertaking asset management business and
Rules for Undertaking Derivatives Business for Registered Derivatives Broker and Dealer (No. 2)