allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that
listed companies for those people. In addition, amendment to the governing rules will add possession of accounting knowledge and passing of minimum training courses to the qualifications of financial
/reverse repo transaction as a tool for managing liquidity and generate benefits from the securities in possession. In this regard, however, securities companies have to put in place efficient control and
witness or expert witness; (4) requesting any person to submit relevant documents in such person’s possession; (5) conducting an on-site inspection. The alleged person shall cooperate with the authority in
In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of
management official could make derivatives trading decision for its clients (day-to-day decision) according to clients’ intention which have informed to derivatives investment manager regardless whether such
-to- day decision) according to clients’ intention which have informed to derivatives investment manager regardless whether such person have or not having provide consultation on derivatives investment
-to- day decision) according to clients’ intention which have informed to derivatives investment manager regardless whether such person have or not having provide consultation on derivatives investment