securities and derivatives business. Accordingly, investors will be protected in that their investment money will be segregated from that of the business operators while investments will be handled and
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
of this amendment is to ensure that customer complaints are handled appropriately, especially in the case where the operator failed to comply with relevant regulations. It also aims to ensure that
, certain shareholders may have the number of voting share more or less than the number of voting rights, which may be contrary to the major shareholder oversight principle that aims to supervise the actual
. The existing approval scheme, on the contrary, requires the issuer to seek approval and file full form of registration statement for every offer which could affect fundraising plan, costs and need of
such transfer. Their actions were deemed imprudent and careless fund management in contrary to professional codes of conduct, causing severe damage to the fund assets. On December 29, 2011, the asset
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a