conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows: (1) Prohibiting local securities companies from accepting orders of purchase
conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows: (1) Prohibiting local securities companies from accepting orders of
strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
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available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
on geography and activities The effects of climate change and climate-related risks occur on local, regional, and global scales with different implications for different businesses, products and
business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any
financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business