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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...
persons controlling client derivatives trading, as well as the financial status and repayment ability of the existing clients from whom the derivatives broker has never received such information or
and repayment ability of the existing clients from whom the derivatives broker has never received such information or documentation by 31 December 2009. Clause 36 All notifications of the SEC Office
Capability. This conversion will be a financial vehicle for the Company to develop and invest in other assets, to improve existing assets, and to increase investment ability. For the long-term growth, the
The existing regulations for newly issued share offering through PP require that listed companies submit an application for approval to the SEC and disclose material information related to the