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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...
making an investment decision, or misled investors in a manner of concealing or disguise or making up non-existing facts. 6. The transfer restriction is registered, including an application for an approval
Criteria for Offering for Sale of Newly Issued Securities with a Tender Offer for the Existing Securities of Listed Companies for Restructuring of Shareholding and Management
transfer restriction, features of bonds, draft terms and conditions and a bondholders' representative appointment agreement (in case of secured bonds/ bonds with a bondholders' representative). - Can be
approval rules - Applicable to the offering of bonds only. - For the offering of bonds, the approval will be granted upon the registration of the transfer restriction, features of bonds, draft terms and
Qualifications and approval rules - Applicable to the offering of b onds only. - For the offering of bonds, the approval will be granted upon the registration of the transfer restriction, features of bonds, draft