The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on quality and reliability enhancement of such business operator to protect investors. This means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC conducted a public hearing on a proposed amendment to the regulations on custody of clients’ assets....

Real estate-backed ICO is in the form of fundraising and benefit generation similar to REIT. However, the regulations governing real estate-backed ICO with regard to investor protection mechanism

supervision of subordinated perpetual bonds to strengthen investor protection and simultaneously develop the debt securities market. In this regard, such type of bond to be offered for sale to the general

SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of

Essentially, the amendments would apply to digital asset business operators, i.e., exchanges, brokers and dealers, and cover the licensing process, from change to the fee payment time frame to extension to the time frame of readiness preparation for business commencement in case of necessity. In addition, the regulations governing key aspects of digital asset business operation would be amended. For example, data storage system, management system and custody of client assets. This is to pr...

Bangkok, December 23, 2015 ? The SEC is seeking public opinions on a draft amendment to the regulations on information technology security management of securities companies and derivatives

: Navigating the Information Security Landscape" for company directors, executives, personnel of medium and small-sized listed companies, SMEs, and crowdfunding issuers. The webinar aimed to enhance the

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