to increase flexibility and investor protection Essentially, the amendments would apply to digital asset business operators, i.e., exchanges, brokers and dealers, and cover the licensing process, from
results Sort by: Relevance Date (Newest) Date (Oldest) SEC adds “ digital asset investment advisor” and “ digital asset fund manager” as new regulated businesses and amends regulations on supervision of
implementation with company boards of directors, executives and major shareholders. Institutional investors will be a key driver to promote such implementation, while supervision of financial advisors will be
time since the inception in 2012. The recent findings in 2019 reflect notable effort by the supervisory agency for supervision of listed companies.The findings suggest that Thai listed companies still
Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection
progresses in the areas of market supervision and development, such as quality enhancement of IPO issuers and listed companies, legal enforcement in various cases, and improved transparency and fairness in
the SEC and the exploration of applying these guidelines to enhance the OIC’s technology risk control supervision over regulated business operators. The event took place on 26 June 2024 at the SEC
Deputy Secretary-General Tajinder Singh (second from right) to discuss international cooperation for the development and supervision of capital markets, at Hilton Hotel in Sydney Australia on 12 May 2019
real estate investment trusts; 2. Appraisers; 3. Consideration of complaints, inspection, investigation, enquiries, administrative acts, and any act under supervision of the SEC Office in compliance with