, securities dealing business or securities underwriting business and capable of providing services related to debt securities and Sukuk is eligible to act as a bondholder representative. This is to ensure
** Notification of the Securities and Exchange Commission No. Kor Mor. 8/2567 Re: Waiver of Operational Fees for Licensed Securities Brokers Providing Conversion Service of Non-Voting Depository Receipts to
with good governance principles. Furthermore, during the meeting, they shared ideas on how to advance collaborative efforts by, for example, providing feedbacks on draft terms and conditions of
digital asset ecosystem. Furthermore, standard training courses will be promoted to ensure that personnel in the digital asset industry will have sufficient knowledge and competency for providing services
Currently, rules on providing investor services and communication of securities company regarding offering for sale of high-risk or complex capital market products do not cover the provision of NC
conduct a suitability test on investors who wish to invest in digital assets before providing services to them. Additionally, the suitability test must be reviewed and updated at least once every two
order within the specified period. Moreover, despite being warned by the Competent Officer, they provided only partial, incomplete information and showed a delaying behavior in not providing the requested
securities for sale to investors, providing that proceeds given to the securities holders depend on a flow of receipts generated from the transferred assets.
’ specific business model under more reasonable costs and without excessive burdens on business operators. Providing more license types also promotes business development and competition in the capital market
. --------------------------------------* Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities