custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner
. In taking custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in
assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner that is
6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this
anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this Notification, the anti-money laundering legislations
aspects of existing rules may need to be reviewed. Therefore, the SEC would like to propose a regulatory approach on ICO and seek public comments to ensure appropriate regulatory responses. 4 II. Regulatory
regarding the criteria, conditions, and procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters. To ensure that the private
blueprint is the result of thorough analysis and re-adjustment of focus. Each issue will be explored to the core with stakeholders? interest in mind to ensure right-to-the-point, effective problem solving
: Rules, Conditions and Procedures for Undertaking of Digital Asset Businesses, as amended; (2) Revise the management and personnel structures to ensure proper and adequate structures for conducting