without any investment limit in order to create equal competition between securities companies and asset management companies. In the case where such Funds invest in crypto assets directly or indirectly via
warned the three branch managers against improper duty performance. Also, {X1} has already paid for the compensation in full for each affected client. Owing to this case, the SEC has found that {X1}'s
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private
make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private fund with the same investment policy, the securities company must
instructed RS to clarify the reasonableness of the said transactions as they may raise several issues. For example, potential conflicts of interest under the business structure between RS and GIFT, the
offering). The independent financial advisor (IFA) considers that the information disclosure in this case is insufficient, and the company is exposed to the risk of absence of due diligence in the
applying for a digital asset exchange licence.? The applicants failed to meet the approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your
public limited companies have already complied with the rules and conditions specified by the SEC. For example, the requirement of the resolution of the shareholders’ meeting for ESOP of repurchased shares
redemption is not allowed.In addition, in case of advertisement of past performance, the information must be presented in comparison with other trigger funds currently or previously under management of the