procedures for settlement of disputes by arbitration to be able to accommodate disputes relating to securities and derivatives contracts to ensure that the arbitral process organized by the Office is
supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
increase flexibility and effectiveness in business operations by delegating other persons, who are prepared to operate the business under the principle of principal-agent relationship. SEC has held three
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
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
governmental agencies for the development of financial products and services, and supporting voluntary disclosure of anonymized data by the public and private sectors. The FinTech Act is expected to benefit the
whether or not the company (and its management) have complied and, if not, the extent of, and reasons for, non-compliance. (i) Governments in each country should adopt measures to ensure the independence
participants. Based on the outcomes of the Forum, the G20 Finance Ministers and Central Bank Governors stated at their April meeting that they were looking forward to submission of the revised Principles by
further ensure that management of investment money would be for the best interest of investors by introducing an oversight mechanism, either for independent body or person, to undertake the supervisory role
use of financial innovations.Therefore, the SEC has proposed amendment to the paid-up capital rules to be issued in three notifications by taking into consideration stakeholders? comments and