the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. DAB Act S.94 Settlement Committee Meeting No. 5
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
investor protection in case of non-regulation by the public sector; and (3) Future perspectives of the markets and businesses related to cryptocurrency business in the next 15 years. SEC Secretary
public policy and pre-determined criteria. This exemption rule would facilitate social enterprises in raising fund for their operation to achieve the objectives of promoting employment or solving social
business.? The objectives of the rule-amendment are to promote flexibility and prevent conflict of interest. The proposal has undergone series of discussions with various stakeholders including securities
number of salespersons sufficient for providing services to investors, the new rule will pave the way for experienced staff to seek sales licenses provided that they meet certain conditions to maintain the
regulator Host country Licensed, registered or authorised Authorisation subject to local rule and regulation Maintain updated information on the status of professional Host regulator Application process Local
without having to apply for a license or registration. By the authorized agency…………………………………… Country……………………………………………………………… 2.2 Regulation on scope of business operation: □ No □ Yes, please specify the
permitted to be a derivatives dealer without having to apply for a license or registration. By the authorized agency…………………………………… Country……………………………………………………………… 2.2 Regulation on scope of business operation
form through the business operator reporting system in accordance with the SEC Office of the Securities and Exchange Commission’s rule on the electronic data interchange, unless otherwise permitted by