offices or branches of business operators in accordance with the Regulatory Guillotine to increase flexibility and streamline processes and operating burdens on the business sector. Essentially, the
Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to
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compromising appropriate investor protection and convenience for business operation.The SEC therefore proposes to amend the regulations related to granting of approval to appraisal companies and lead
of listed companies, as well as other policy directions that would help reduce challenges to accessing capital sources and carrying out the responsibilities of listed companies. The goal is to ensure
business personnel to reduce costs for the aforesaid personnel, enhance oversight efficiency and facilitate fast and convenient processes. The proposed amendments would be useful for both business
With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their
transaction volume to use of standby subordinated loan facility to recover NC shortfall on a temporary basis which will reduce costs for seeking short-term finance. (2) To require the business operator