SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
basis of capital adequacy, readiness of business operation, internal control system, risk management system, conflict of interest prevention system and customer service system. To promote derivatives
securities business operation, the SEC issued a regulation requiring all securities companies to put in place an information technology risk management plan with database and system backup solut ions and a
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