+%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
of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and
the following matters: (1) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime
) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime, which are capable of protecting