of SEC-approved digital assets or under SEC’s supervision. SEC therefore advises investors to be careful if solicited to invest in such products.Investors must be seriously aware of the risks
means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. Therefore, the SEC
the relevant regulation*. The SEC is also proposing to stipulate a minimum Authentication Assurance Level (AAL) for clients’ online transactions via the company’s system based on associated risks
investor by way of providing sufficient information for decision making and to reduce risks due to a high number of senior retail investors.Furthermore, the meeting also discussed important issues related
equity, (2) the additional capital to ensure business continuity, and (3) the additional capital to cover potential liability risks due to professional negligence. Actions in case of failure to meet the
offering and to strengthen proper investor protection mechanisms. Pursuant to the amended regulations, investors’ rights will be protected fairly according to the characteristics, forms and risks of the
Complex Instruments Type 2 is allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g
addressing potential damage from operational risks. For example, a lower ongoing capital requirement would be permissible specifically for intermediaries that only provide asset management services excluding
incur loss depending on its potential risks. _______________________ Notes: Clause 23(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Capital
) fact sheet of the offering, business overview, financial condition and operating results, (2) risk factors to get an idea of what kind of potential risks that may affect the issuer, (3) related party