. Essentially, the primary existing regulations on IPOs which have come into force since late 2016 would remain intact, while certain provisions would be added or revised for more efficient supervision. 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
strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk
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
qualification requirements intact and adjust the licensing fee structure to prevent overburdens to business operators.Essentially, this approach would allow an applicant to apply for a package of licenses at one
business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any
financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business
securities financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers
protection remains intact while business operators still have convenience for business operation. The SEC has therefore reviewed the regulations on work systems of securities brokers and repealed two