enforcement mechanism on foreign Professionals who are regulated by more than one regulator and the impact of enforcement actions on foreign Professionals undertaken by one regulator to the other regulator (s
Management Company of the Hong Kong Covered Fund must also remain licensed by or registered with the SFC for Type 9 regulated activity (asset management). Both the Hong Kong Covered Fund and its Hong Kong
adds “digital asset investment advisor” and “digital asset fund manager” as new regulated businesses and amends regulations on supervision of digital asset business operators to strengthen investor
/News_Detail.aspx?SECID=8253 SEC adds “digital asset investment advisor” and “digital asset fund manager” as new regulated businesses and amends regulations on supervision of digital asset business operators to
/RoyalEnactment/enactment-digitalasset2018.pd... ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ derivatives fund managers being a financial institution regulated by other agencies; “ electronic data” means data
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
Debenture Bond Basel Convertible Debenture IC Bond SUKUK Structured Debenture DR-Common share Depositary Receipt DR-Convertible debenture Depository Receipt Representing Foreign Securities NVDR Preferred