guidelines for offering and operating digital assets businesses, at the SEC Office on 23 February 2024.
meeting aimed to communicate the expectations, revised regulatory framework, and the operational guidelines for the compliance unit of ICO portals. Approximately 30 participants attended, including senior
have shared and discussed relevant guidelines and preventive measures such as industry engagement and guidelines of good practices. The meeting further agreed that the APRC members should conduct a
Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The
. In addition, the SEC has recommended the ASCO to revise its KYC/CDD guidelines as well as propose the guidelines for securities transfer between clients so as to prevent fraudulent activities or
obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the