To enhance clarity and consistency with the current business practices of the private sector, the SEC has issued regulations revising the characteristics of “bills” deemed as “securities,” which
protect investors from risks of fraud and deception by dishonest persons, money laundering and exploitation of digital assets to facilitate illegal financial transactions, while ensuring regulatory clarity
regulations on the creditability of digital asset business operators. This is to enhance the efficiency of the licensing process and ensure the clarity and appropriateness of the regulatory framework regarding
provisions, conditions, and procedures to protect the investors or to ensure the clarity and uniformity in operating standards in the following matters : 1) The sale, redemption, an increase or reduction of
provisions, conditions, and procedures to protect the investors or to ensure the clarity and uniformity in operating standards in the following matters : 1) The sale, redemption, an increase or reduction of
acts as the oversight body, is overseen by an independent body. Such an auditor oversight body must operate in the public interest, and have an appropriate membership, an adequate charter of
overseen by experts, all aimed at creating an illusion of trustworthiness. In addition, the SEC continues to prevent investment scams in various manners, as follows: (1) Posting on the
DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22
standards should be overseen by bodies independent of the pro- fession. Recommendations: Asian Roundtable economies should work towards convergence with high quality internationally recognised standards and
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