In this regard, the SEC reiterates its warning to DA business operators to fulfill their duties in safeguarding clients’ digital assets in accordance with established criteria, with a primary

During March – April 2025, the SEC conducted a public hearing on draft regulations concerning requirements for business operators unable to maintain net capital, client asset safeguarding, and the

shortcomings could potentially lead to money laundering and the financing of terrorism. Additionally, the company has deficiencies in the system for safeguarding client assets denominated in Thai baht, non

system in safeguarding clients’ confidentiality. The SEC therefore urged EY to rectify the system to be more stringent and the company has already done so.  In addition, the SEC has sent a circular to all

control system for goals and objectives achievement, compliance with applicable laws and regulations, safeguarding of the assets from frauds and damage, and preparing reliable accounts and reports. The

complete information to the marketplace and the CRAs they solicit to provide credit ratings. While aspects of the IOSCO CRA Code deal with a investor protection by safeguarding the integrity of the credit

subscription payment, and safeguarding of subscription money. - specify information on the underwriter such as name, address, telephone number, including the underwriting remuneration. (4) Method of unit

deal with a investor protection by safeguarding the integrity of the credit rating process. IOSCO members recognize that credit ratings, despite their numerous other uses, exist primarily to help