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securities outside the stock exchange if abiding by the regulations, conditions and procedures set by the SEC Office. Earlier, the law prohibited such companies to trade securities outside the stock
SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC
Establishment of Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours (No. 2)