instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types, e.g., investment units of mutual

conduct must be as strict as those imposed on the sale of high-risk products and the associated risks must be clearly disclosed;  (8)  Debt issuers must use the raised money to repay for the earlier

Practice Lead, GMO, said, “We are witnessing a fundamental shift in the way in which investors are integrating material ESG risks and opportunities, such as climate change, and diversity, into their

support securities regulators to tackle new challenges and risks. The second FSAP included the assessment of the SEC’s roles and responsibilities regarding transparency, independence, rulemaking procedures

investors? decision-making, causing investors to overlook investment risks. The SEC is therefore in the process of amending the relevant rules and regulations to be more suitable for the industry environment

asset market development plan, as well as solving problems and preventing risks. This regulatory proposal would also contribute to the stability, transparency, fairness and digital asset market integrity

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

a crowdfunding system; (2) crowdfunding must be conducted through a funding portal approved by SEC and the funding portal must have a system for assessing creditworthiness and risks of debenture

significantly alter the returns and risks of the fund, for example, the calculation and announcement of asset value, unit value, subscription and redemption prices. The consultation paper can be

a filing and a prospectus and lessen a duty for digital token portals.Given high risks and uncertainties of a project during pre-ICO and private sale, and limited information disclosure to