SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
. Drafting single form is based on the principle of gathering necessary and sufficient information to ensure provision of appropriate services in compliance with the law, and to provide ease of filing for
the power to provide assistance in gathering necessary information or evidence to determine whether there has been any violations of the law governing digital assets or other laws of similar nature of
to provide assistance in gathering necessary information or evidence to determine whether there has been any violations of the law governing digital assets or other laws of similar nature of such
In cases where it is necessary to appoint the commission member in the SEC or in the Capital Market Supervisory Board, the Minister shall appoint seven committee members comprising the Selection
include the following procedures: (1) gathering of evidence considered necessary for fact proving; (2) admission of evidence, explanation or opinion of the SEC Office, an alleged person or a witness or
issues which many arise from the enforcement of this Act. SECTION 10. In cases where it is necessary to maintain economic stability or protect the public interest or investors, the SEC shall have the power
. In the case where it is appropriate or necessary, the SEC Office upon approval of the SEC may revise or modify the operating plan; in such regard, the provision in the first paragraph shall be
plan to the Minister for acknowledgment every year and disclose the operating plan in a manner available for public access. In the case where it is appropriate or necessary, the SEC Office upon approval