? pre-determined investment scope.The proposed rules have taken into consideration the public?s and stakeholders? comments and suggestions collected from the hearing on the guiding principles in last
Limited, the SEC further probed into the case and found that {A} persuaded the client to open the securities trading account and traded securities on behalf of such client. It was found that {A} determined
costs for SMEs and startups low, SEC plans to make use of technology by requiring SMEs and startups to file financial reports through a mobile application. In addition, half-yearly and annual financial
found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the
intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and
to consultation papers and more convenient participation in the hearing process. The website is accessible via multiple devices such as desktop, tablet and mobile phone, to fit the users
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
small units such as individual houses or condominium units.4. Asset appraisal must be made by an asset appraiser determined by SEC.In addition, SEC has improved the flexibility for a smart contract
when the SEC lays out further guidelines for supporting SMEs access to capital market fundraising. 3) Launching mobile application SEC Check First and web-based application Retirement Checkup, SEC’s two
a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the