underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (Translation) 2 (3) The securities companies
services and, in particular, fintech, have played a critical role in supporting businesses and individuals through the Covid-19 pandemic. Now financial services have an equally important role to play as we
upon such information without appropriate professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data A catalogue record for this book is
. 5. In particular the disclosures should, with respect to conflicts of interest, address the priority given to client interests in decision-making; with respect to collective engagement, describe the
the Securities and Exchange Commission personal data any information that can be used to identify a natural person, both directly or indirectly, but shall not include, in particular, any information
, including reasons for not following any particular Principle or Sub-Principle, and alternative practices (if any) that can fulfil the intended outcomes of the Principles and Sub-Principles. 2. disclosed in
importantly, vaccines are now available in many countries. Such significant progress would not have been possible without the efforts and unity from all parties, in 2 particular the sacrifice from the front
. Communication and education will be emphasized, apart from enforcement, for better understanding of stakeholders and target groups. Rulemaking is a tangible start for all parties involved in any particular matter
, including reasons for not following any particular Principle or Sub-Principle, and alternative practices (if any) that can fulfil the intended outcomes of the Principles and Sub-Principles. 2. disclosed in
incorrect until the date on which the unit value is correct, and shall take the following actions only on such particular dates on which the difference between the incorrect unit value and the correct unit