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

rules concerning application for securities registrar license. This is to ensure the continued enforceability of Section 206 and Section 222 of the SEA and to comply with Section 22 of the Act on

Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of

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

following and inquiring about cybersecurity measures and data security from your service providers, including cooperating with them to ensure that your data and assets are safe.” In addition, the SEC

therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide

The SEC emphasizes the importance of supporting relevant parties and key stakeholders in the financial reporting ecosystem to ensure that they are capable of performing their duties appropriately

their opinion on financial reporting as required by relevant professional standards to ensure that financial reporting represents its true and fair economic substance, operational performance and is

.;    (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