of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and
the operation of securities business, the Securities Exchange, over-the-counter center, organization related to securities business, derivatives business, derivatives trading center, derivatives
of the SEC Office; (6) being a manager or a person with power of management of the operation of securities business, the Securities Exchange, over-the-counter center, organization related to securities
modify or change the conditions already specified. Division 2 Supervision of Business Operation ________________ SECTION 57 In managing a trust, a trustee shall have appropriate operating systems to: (1
circumstance as provided in the first paragraph, the SEC may modify or change the conditions already specified. Division 2 Supervision of Business Operation ________________ SECTION 57 In managing a trust, a
. Division 2 Supervision of Business Operation ________________ SECTION 57 In managing a trust, a trustee shall have appropriate operating systems to : (1) segregate between trust property and the property
operation of the fund is deemed to be in violation of the fund’s objectives or any law; (2) the operation of the fund is deemed to be unable to continue for any reasons. When the registrar has ordered a
violation of the fund’s objectives or any law; (2) the operation of the fund is deemed to be unable to continue for any reasons. When the registrar has ordered a dissolution of the fund under the first
the submitted reports or documents. SECTION 20. Any derivatives business operator which intends to cease operation in the derivatives business of the category so licensed or registered shall submit an