Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Exemption from Submitting the Registration Statement In case of Non-public Offering Securities Issued by Foreign Company
Exemption from Submitting Registration Statement for Offer for Sale of Shares Issued by Foreign Company in case of Private Placement
Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Derivatives Fund Management Companies and Provisions in Case..