operators. This was followed by a focus group session aimed at gathering opinions from DA operators regarding the proposed amendments to the governance structure and qualifications of authorized directors and
. Drafting single form is based on the principle of gathering necessary and sufficient information to ensure provision of appropriate services in compliance with the law, and to provide ease of filing for
Notification. “critical function” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
Notification. “critical function” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
statements. The request was made on the ground that the independent financial advisor is in process of exploring and gathering documents and evidence as well as more information from overseas authorities for
fines. Meanwhile, the SEC is nearly complete the evidence-gathering process concerning other SHIN-related allegations of which the SEC Board directed a thorough and urgent examination, including the
submission deadline to July 2, 2012 to allow it more time to complete the process of gathering accounting documents and evidence as well as preparing supplementary details to satisfy the auditor?s audit
brokerage business, securities dealing business, securities underwriting business, mutual fund management business and securities borrowing and lending business (SBL); (2) KYC providers, gathering and
issue through a website, being designed in any form that allows people to make comments. Such form extends from a website gathering investment news with a feature for outsiders to make comments, a web
complainants, namely (1) the initial clarification and related documents gathering phase, (2) the case consideration phase, and (3) legal proceedings phase. This complaint handling improvement aims to give more