limited only to major investors or high net worth investors.The guidelines proposed by SEC for supervision and encouragement of such business cover 4 key points as follows:1. The process for wealth
opportunities, enhancing competitiveness, and building market infrastructures for the digital age. ?The SEC is becoming an adaptive regulator for the future of data-driven supervision whereby responses to change
data-driven supervision whereby responses to change will be faster and risks exposed to investors and the financial system will be managed in a more timely manner. In so doing, we change the mindset and
Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
The MOU reaffirms mutual intention to promote and support provision of pools of knowledge for listed companies and regulated entities under the SEC supervision to enhance their awareness of the
.? [The average scores range from 5 (the lowest) to 1 (the highest)]. Major issues found among the inspected audit firms included non-compliance with auditing standards and inefficient work monitoring
leading to lower operating costs. Additionally, the SEC will use RegTech for a better regulatory supervision and place high importance on cyber resilience. Strategy Two: To promote the Thai capital market
Pursuant to the MOU, SEC and TGO will cooperate in sharing knowledge, communicating and giving advice to listed companies, securities issuers or business operators under SEC supervision regarding the
wallet provider, and other relevant regulations on digital asset business operations. The key points of the amendments are as follows: (1) Supervision on the ICO of Investment Token: Revoking the