SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in
are allowed to also inform the SEC of the names of foreign business operators instead of only the names of the foreign personnel as previously required; 2. Modifying the requirements for notifying the
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
meeting also considered changing the securities settlement cycle to be within the second day following the trading day (T+2) for all types of investors. Furthermore, both parties agreed to review rules or
benefits and impacts to the Company. However, as per mentioned in the Company’s disclosure letter dated 3 October 2018, the Chief Executive Officer authorized by the Meeting has considered changing the date
. However, as per mentioned in the Company’s disclosure letter dated 3 October 2018, the Chief Executive Officer authorized by the Meeting has considered changing the date, and time of the Extraordinary
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the