at a price lower than the market price. The governing regulations in this regard have become effective since 1 September 2022. The SEC is revising the principles for considering the market price and

Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies.

Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of

undertaking digital asset businesses wherein experts from CMKL University gave advice on how to improve the process for considering applications and granting digital asset business licenses.   The

undertaking digital asset businesses wherein experts from CMKL University gave advice on how to improve the process for considering applications and granting digital asset business licenses. The licensing

transportation, the SEC requests intermediaries’ cooperation in considering virtual operation or the work-from-home routine during the said period. 

PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished

institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may