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SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
proposed regulations can be summarized as follows: 1. Disclosure and submission of PVD Factsheet 1.1 In case of adding a new investment policy to the existing PVD, the AMC would be required to disclose
of essential and ambitious Paris-aligned investments that includes other labels (not a focus of this paper). Regardless of the label, all are ‘green’ as they contribute to environmental objectives
to the existing PVD, the AMC would be required to disclose the PVD factsheet of the newly added investment policy before offering such investment policy to PVD’s fund committees. For a pooled fund, the
regulations. The key principles and the proposed regulations can be summarized as follows: 1. Disclosure and submission of PVD Factsheet 1.1 In case of adding a new investment policy to the existing PVD, the