Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to
securities business supervision: For example, repeal of the minimum requirement of paid-up registered capital of securities company, allowing the SEC Board to use discretionary power to prescribe required
enforce the application of high quality accounting and auditing standards. As the SEC has direct responsibility over a supervision of the auditors of securities issuers and entities under the SEC
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
funds are designed in direct response to investors? behaviors such as unit link insurance and trigger fund, which is preset to dissolve upon reaching the target return within a pre-scheduled timeframe
streamlined manner. This means that fund managers will now have a direct and efficient channel to offer their schemes in member jurisdictions. To facilitate the smooth operation of the Framework, the
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