Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
At the academic seminar entitled “Investor protection mechanism and building confidence in the capital market” hosted by SEC on Wednesday 20 November 2019, experts from Australia and Malaysia took
and deposit service on self-issued DA to establish a system segregating their clients’ DA from their own assets, and would prohibit them from seeking benefits from the clients’ DA under their custody
create confidence among investors using its services, by enhancing the ability to be prepared for and respond to cybersecurity threats (Cyber Resilience), the framework of oversight and interesting Cyber
awareness and responsibility over project management for the benefit of digital token holders and increasing confidence in both fundraising and investment through ICOs. The proposal contains the following
engagement performance, if improved will heighten their efficiency and bolster investor confidence in the Thai capital market. The SEC?s audit inspection in 2013 covering eight audit firms indicated that
negative impacts on market conditions and investor confidence. over the years, to ensure market stability and minimize adverse effects on short selling transactions, the SEC has approved the Stock Exchange
independent directors, as well as to establish an audit committee. These requirements aim to ensure that DA operators will have a proper organizational structure with checks and balances in their management and
to establish a cybersecurity system in accordance with the regulations specified by the SEC and arrange for IT security audit and a penetration test by a knowledgeable and skilled auditor who is