the misuse of the client’s assets such as: 3.1 Compliance or other assigned person who will inspect and verify the movement of money and assets of the fund, and approve money and asset transferring for
) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account
) “margin account” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “cash account” means an account
) “margin account” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “cash account” means an account
Regulations - PVD Act Ministerial Notifications Regulatory Summaries Fundraising Market Professionals Financial reporting and audit oversight Business Operators Fund Registered Person Trustee Digital Asset
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
, but finally nobody offered the price by bidding. Then, there was 1 person who offered the price but under the minimum price. However, the Company needed the money using for the internal operation and
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best