collectively and concurrently and the consideration is divided into three areas, namely (1) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the
such complaint is completed; In cases where the giving of advice or placing of orders under Paragraph 1 has been made via telephone or by electronic mean, a record of audio tape or electronic recording
until the handling of such complaint is completed; In cases where the giving of advice or placing of orders under Paragraph 1 has been made via telephone or by electronic mean, a record of audio tape or
made via telephone or by electronics mean, a record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its
record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its customers, confirmation statement, evidence of
).Moreover, SEC is considering allowing asset management companies to organize meetings via electronic platforms, provided that there is a proper control system to ensure IT security for online meetings
Regulations on Offer for Sale of Securities through Electronic System or Network (No. 2)
Date (Newest) Date (Oldest) SEC Search :8983/solr/secweb/select?q=electronic property OR "electronic property" OR " electrical asset" OR " electrical possession " OR "digital asset" OR "digital