requirement and revision to the securities settlement cycle. This is to ensure stability, fair treatment, and non-discrimination among all types of investors.Additionally, the SEC requested the ASCO to review
Federation of Exchanges (WFE); 1.2 Public offering of securities must be made before listing on the SET to ensure an adequate number of free float. The offering can be made either by issuing new shares
.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that
the SEC’s strategic priority to build cyber resilience and to ensure that licensed corporations have efficient IT systems and resilience to cyber threats and are able to comply with the governing rules
plans and distribution of digital tokens, examine and ensure source code that matches the disclosed information, and identify investors’ identity, status and risk-taking ability.Once ICO portals are
report the proceeds from sale of mutual funds to the investors to ensure that the investors have sufficient information for making the investment decision and shall not make payment of commissions to the
on review of rules and regulations to maintain only necessary ones and ensure effective enforcement, can help SEC build a body of standard regulations in line with the changing environment without
, the intermediary shall comply with Clause 11 and Clause 23(4) of this Notification only. Clause 4 The rules in detail under this Notification are prescribed to ensure that intermediaries comply with the