The SEC is proposing to amend the regulations regarding funding portals to implement a more suitable and effective system for screening or evaluating the credibility and risk level of crowdfunding
Currently, rules on providing investor services and communication of securities company regarding offering for sale of high-risk or complex capital market products do not cover the provision of NC
to the IT Standard Rules this time are summarized as follows: (1) Establishing IT-related risk assessment criteria to define the entity’s risk level and to specify standards of IT security controls
the chip, in which case licensed companies would be allowed to adopt reasonable risk-based measures instead of ID card dip chip. In addition, the licensed companies offering occasional transaction
diverse products suitable for investors? different risk profiles while preparing the Thai capital market for linkage with international counterparts and increase channels for fund mobilization of business
, guidelines, service provider supervision, risk management, and business continuity measures. However, outsourcing does not discharge business operators from responsibility in the outsourced activities
infrastructure funds generate returns that reflect the changing inflation rate, it could therefore help prevent inflation risk.?To allow the funds to invest in infrastructure funds as another investment
Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the AntiMoney Laundering Office (AMLO)’s amendment to the Anti-Money
Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti-Money Laundering Office (AMLO)’s amendment to the Anti-Money