The SEC Board’s approval of the principles for supervising additional digital asset businesses would not only benefit securities companies that have recently showed their growing interest in offering digital asset advisory service and/or acting as digital asset fund manager to provide alternative investment choices for investors, but also support careful monitoring of persons giving advisory service and soliciting the public to invest in digital assets, which may be liable to fraud and ca...
the people. SEC Act S.285 bis paragraph 4 Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 18/2020 Dated 20/05/2020
inquiry official. SEC Act S.65 in conjunction with Section 86 of the Penal Code Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 17/2020 Dated 20/05/2020
accurate information was in place to ensure the status of qualified customers as high net worth investors. SEC Act S.113 Settlement Committee Meeting No. 2/2025 Settlement Committee Order No. 20/2025
scope of work. In addition, CL did not inform the SEC about the outsourcing. SEC Act S.100 in conjunction with 113 Settlement Committee Meeting No. 2/2025 Settlement Committee Order No. 20/2025 Dated
Settlement Committee Meeting No. 4/2025 Settlement Committee Order No. 67/2025 Dated 30/05/2025
to July 23, 2024 in accordance with the notification of the SEC. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting No. 5/2025 Settlement Committee Order No. 9/2025 Dated 26/06/2025
Committee Meeting No. 8/2025 Settlement Committee Order No. 127/2025 Dated 22/09/2025
Meeting No. 9/2025 Settlement Committee Order No. 21/2025 Dated 25/11/2025
.30 Settlement Committee Meeting No. 9/2025 Settlement Committee Order No. 22/2025 Dated 25/11/2025