securities outside the stock exchange if abiding by the regulations, conditions and procedures set by the SEC Office. Earlier, the law prohibited such companies to trade securities outside the stock
consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC
credit rating assignment by international CRAs established under foreign law, and the bonds must receive an issue rating not lower than the investment-grade level. This does not apply to private placements
auditors in the capital market, and to grant a fee exemption for resubmission of the application for approval of auditor in the capital market for the applicants who affiliated with audit firms outside
other laws outside the SEC’s jurisdiction, the SEC will coordinate with relevant authorities to take an appropriate action.The SEC urges the public and investors to exercise caution when using services of
requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without
an enforcement of investors’ rights in some issues which are activities occurring outside blockchain* and are not based on the smart contract. Such activities include rent fee collection and payment