supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting
and underwriting of investment units and securities borrowing and lending. This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
closely monitoring the matter, the SEC has found that at around 08.30 hours on 2 September 2019, a suspicious Facebook account posted deceitful statements that misled the public to believe that such
backup media and copies of backup procedures in a remote location to escape any damage from a disaster at the main site, which should be given an appropriate level of protection as described in the section
procedures in a remote location to escape any damage from a disaster at the main site, which should be given an appropriate level of protection as described in the section of Physical and Environmental
device (an iris-scanning machine) located at various points, and several digital asset business operators are servicing these coins. Mr. Anek Yooyuen, SEC Deputy Secretary-General and Spokesperson
On 24 October 2025, the SEC and the CCIB jointly conducted a raid on WLD exchange services at the iris scanning location, identifying an exchange service provider potentially constituted to be
Administration (NIDA), advisor affiliate at the Center for Competitiveness, University of Fribourg, Switzerland, member of the Monitoring and Evaluation Subcommittee under the Digital Economy and Society
standard qualifications of salespersons. On the sales process side, the aim will be to prevent mis-selling or inappropriate selling of financial products to investors at the pre-sales, point of sales, as