Principles for Undertaking Securities and Derivatives Businesses

principles will begin in 2018.The I Code consists of seven key principles, namely: (1) establishing a clear stewardship policy; (2) sufficiently managing conflicts of interest for clients? best interest; (3

/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

loss due to price volatility, cybersecurity risk, risk on personal data leakage, and exploitation as a money laundering tool.  The SEC Board has therefore considered exercising authority within the scope

set optional analytics cookies to help us improve it. We won't set optional cookies unless you enable them. Using this tool will set a cookie on your device to remember your preferences. For more

optional analytics cookies to help us improve it. We won't set optional cookies unless you enable them. Using this tool will set a cookie on your device to remember your preferences. For more detailed

SHARE : SEC proposes to specify “digital asset custodial wallet provider” as a new digital asset business and to introduce measures to prevent misuse of digital assets as a tool to commit crime Wednesday

them. Using this tool will set a cookie on your device to remember your preferences. For more detailed information about the cookies we use, please see our   Cookies page. Necessary cookies Necessary

information would lead to investors? better understanding of the products and more convenient comparison with other financial instruments. Also, a previous hearing on the principles for the disclosure amendment

majority investors were retail investors, accounting for approximately 81 percent, and HNW accounting for approximately 6 percent.  SEC is therefore proposing principles for amending the rules on