operation and proceed with dissolution and commence liquidation within the same fiscal year in which the entire business transfer will take place, or not later than March 31, 2017, in order to comply with the
Rules for Operation of Derivatives Exchange
Rules for Operation of Derivatives Clearing Houses
Outsourcing Function related to Business Operation to Third Party
of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
Printable Format - Laws and Regulations Guideline on the commencement for operation of securities / derivatives business
Work System, Contact with Investors and General Business Operation of Trustees
Rules, Conditions and Procedures for Controlling Operation of Securities Underwriting (No. 3)
Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories