as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as
and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as follows: (1
case the amount of fund raised from the offer for sale of units is less than the value of the real estates, the applicant shall demonstrate that there are other sufficient sources of fund for supporting
infeasibility to proceed the transaction. The usage of other sources of capital, which is the Company’s sources, to compensate the financing capital from the financial institution is insufficient and could affect
15 January 2018 to have more time to proceed as planned.If the results of the review affect the fair valuation of the investment or any items in the financial statements that have been submitted to the
. Determining transactions waived from the definitions of being digital asset advisers and digital asset fund managers and determining digital asset fund managers require a process to select outsiders to proceed
Court’s judgment, the SEC will proceed with legal execution according to legal proceedings.” ________________________
Repo service to ordinary persons categorized as institutional investor to proceed in the same manner as with non-institutional investors. For example, securing a risk management system related to