to the greater number of disclosed KAMs, as it provides critical information that guides them to the areas with the most significant risk. The number of disclosed KAMs is likely to depend on the size
Notification. “critical function” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
As information-consuming behavior has shifted as a result of technology, presenting information via crowdsourcing has been widely spreading. Therefore, SEC has had an idea to waive the supervision
strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any
financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business
securities financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers
regarding director appointments to remove legal restrictions and allow the company to resume business.The critical issues to be considered at the meeting are crutial to the company's ability to resume normal