Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep private...
The move follows SEC hearing at the end of 2018 on the amendment of the regulations on the maintenance of capital of investment management companies that manage property funds and infrastructure
SEC is proposing to amend the regulations on the capital requirements for asset management companies that manage property funds or infrastructure funds, trust managers and trustees of REITs or
Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer (No. 2)
Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer
Re: Registration of Licensed Derivatives Business Operator in the Category of Derivatives Fund Manager
Registration of Derivatives Business Operator In the Category of Derivatives Advisor
Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory