The Securities and Exchange Commission (SEC) has considered it appropriate to designate 31 July 2023 as a normal business day for securities companies and derivatives business operators to prevent
The Securities and Exchange Commission (SEC) has considered it appropriate to designate 5 May 2023 as an additional special holiday for securities companies and derivatives business operators in line
considered it appropriate to designate 12 April 2024 as an additional special holiday for securities companies and derivatives business operators. This decision aligns with the Cabinet’s resolution and the
financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money
transactions in money laundering and financing of terrorism, which include : (1) customer acceptance / establishment of a business relationship (2) temporarily restriction /suspension of services, termination of
prevent the use of securities transactions in money laundering and financing of terrorism, which include : (1) customer acceptance / establishment of a business relationship (2) temporarily restriction
restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the
prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business