for liquidity support while financial institutions giving assistance to such mutual funds are allowed to use high-quality domestic instruments as collateral for the same purpose.Concurrently, SEC has

will be allowed to manage REITs? non-real estate assets, providing that there must be a separation of management and compliance units while Chinese wall must also be in place. Outsourcing of the

time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client

decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept

client that, from the effective date to the closing of tender offer, the client was not allowed to purchase EIC securities by any means other than those specified in the tender offer. {A}'s conduct was

retail clients? assets, namely those undertaking securities business in the category of inter dealer-broker and venture capital management, are allowed to appoint any director to perform the duty of an

and recommendations on the following matters:1.Types of capital market transactions in which trust formation is allowed, so as to prevent improper use of trust as a means to hold assets in a manner that

businesses and mergers among securities firms in preparation for the upcoming securities business liberalization. Under the relaxed rules, the firms are allowed to categorize the accounts receivable incurred

allowed to apply for derivatives brokerage license limited to precious metals while licensed gold futures brokers will also be eligible to apply for such license to expand their brokering service to silver

knowledge and understanding of cryptocurrency. In case of unqualified investors, investment through a licensed digital asset fund manager would be allowed, and (2) Digital asset business operators would be