financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring
submit the financial statements for Q3/2017 within the specified period. The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly
circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6
challenge all of the three arbitrators in the claimant’s selected list because there is a circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
required parent company to be responsible for bribery act of its overseas subsidiaries. Such responsibilities shall include the establishment of policy, practices and investigation and ensure that its
According to the establishment guidelines, an SSF can be a newly established fund or an existing mutual fund amended to include SSF investment unit class.“SEC expects the regulations on SSF