protect investors from risks of fraud and deception by dishonest persons, money laundering and exploitation of digital assets to facilitate illegal financial transactions, while ensuring regulatory clarity
regulations on the creditability of digital asset business operators. This is to enhance the efficiency of the licensing process and ensure the clarity and appropriateness of the regulatory framework regarding
provisions, conditions, and procedures to protect the investors or to ensure the clarity and uniformity in operating standards in the following matters : 1) The sale, redemption, an increase or reduction of
provisions, conditions, and procedures to protect the investors or to ensure the clarity and uniformity in operating standards in the following matters : 1) The sale, redemption, an increase or reduction of
rules, conditions, and procedures in detail relating to the matters specified in this Notification to provide clarity on compliance and to facilitate the inspection of such compliance by the SEC Office
, conditions, and procedures in detail relating to the matters specified in this Notification to provide clarity on compliance and to facilitate the inspection of such compliance by the SEC Office. Clause 10 In
, conditions, and procedures in detail relating to the matters specified in this Notification to provide clarity on compliance and to facilitate the inspection of such compliance by the SEC Office. Clause 10 In
document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering
request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering price is a firm quotation or an indicative quotation. Clause 10. In
it for at least five years as from the trading date, of which evidence and document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause