SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation must be under appropriate supervision.SEC is revising the regulations regarding supervision of...
Type of securities : Common share | Effective Date : 06/05/2022 | Close Selling Date : 13/05/2022
Minority Shareholder. “During the course of assessment, the SEC proactively participated in the revision and promotion of various measures to enhance minority investor protection, resulting in the
: Unapproved public offering of digital token (Disclosure Date : 02/06/2020)
: Unlicensed securities and derivatives business (Disclosure Date : 12/03/2021)
: Unlicensed securities and derivatives business (Disclosure Date : 17/03/2021)
: Unlicensed digital asset business (Disclosure Date : 18/01/2023)
: Unlicensed securities and derivatives business (Disclosure Date : 05/04/2021)
: Unlicensed securities and derivatives business (Disclosure Date : 20/01/2023)