Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to undertake in a different manner from
+%22electrica... PowerPoint Presentation Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to
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exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business. "investment advisory service" means giving advice in the normal
therefrom. "securities dealing" means a purchase, sale or exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business
Practices ______________________ SECTION 238 The provisions under this Division shall apply to listed securities and securities traded in the over-the-counter center. SECTION 239 In this Division: “executive
” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of matching orders or arranging for counter parties, or by way of providing a
the Minister under the recommendation of the SEC. “ digital asset exchange ” means a center or a network established for the purposes of trading or exchanging of digital assets, which operates by
businesses relating to digital assets as prescribed by the Minister under the recommendation of the SEC. “digital asset exchange” means a center or a network established for the purposes of trading or