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
The Office of the Securities and Exchange Commission (SEC) revised the Turnover List in responding to comments from market participants for greater clarity and practicality as follows: Initial
, underwriter will be required to seek client?s information sufficient to learn of client?s investment objective and understanding on the product. For the purpose of flexibility and practicality, underwriter is
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
achieve more practicality and be more responsive to current circumstances which can help facilitate private sector?s fund raising in the capital market. Without compromising investor protection, the revised
addition, technologies and supporting measures will be given more weight to encourage value creation and competitiveness, and the rulemaking will give more emphasis to the practicality and cost-effectiveness
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