did not allow such offset and was a discouragement for dealers to trade debt instruments as part of their ordinary businesses. (2) Changes to the way in which taxes are calculated from interests gained
the execution of electronic transactions which would be deemed as fully legitimate as normal transactions, for example, transactions related to businesses under the SEC supervision, subscription
-site operation in case of emergency. With the backup of necessary electronic data, the web-based systems can function via the DRC site in case of longer-than- expected failure of the main system. Regular
impede staff operation. All departments were required to set up their separate contingency plan to alleviate the impacts of such emergencies and ensure normal and continual operation of businesses in the
practices are relatively infrequent considering the overall normal transactions in the capital market; however, damage incurred from a few cases could tarnish the confidence of investors and stakeholders on a
practices are relatively infrequent considering the overall normal transactions in the capital market; however, damage incurred from a few cases could tarnish the confidence of investors and stakeholders on a
(SAA), a code of conduct for marketing officers and securities analysts specifically on their roles of giving advice or opinion to clients, avoidance of spreading rumours, and producing of regular
shareholder). Many of these transactions facilitate normal day-to-day business of the business group and might be economically efficient. Examples of such transactions are sale or purchase of goods, and
. Besides, the SEC has approved types of derivatives contracts or transactions not subject to the Derivatives Act in order to allow transactions already subject to other legislations or for normal commercial
issues, consider policies and regular work relating to employee matters and the engagement of other parties to prepare the operating system for the SEC Office/ meetings/ seminars/ MOU/other events/exchange