In face of the changing environment, such as technological development, volatility of the global financial and capital markets, impacts of the COVID-19 pandemic, and investors’ changing behaviors
records of clients’ assets as prepared by the securities company. For the clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve
clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve updated information to verify the records of such assets reported by a
clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve updated information to verify the records of such assets reported by a
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in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
calculation will reflect position risk of assets and cover related business transactions, in line with international standards and the changing market conditions to serve the ongoing business operation and to
derivative agent business and respond to investors? changing demands. The proposed rules would allow investment consultants (IC) and investment planners (IP) to render more services related to securities and
operators.The draft revision aims to accommodate supervision of agricultural futures business operators and comply with the changing financial reporting standards. It also amends certain disclosure requirements