Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to
) B. Direct&Supervise&Review B Direction, supervision and review responsibilities: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for direction and
must be under appropriate supervision.SEC is revising the regulations regarding supervision of outsourced companies, no matter how many outsourced companies are involved in an operation, for them to
power to supervise the providers of infrastructure services which use digital technology to improve the efficiency of transaction process in the capital market. Therefore, SEC is seeking comments from
”) after proposing the amending principles in 2023. The amendments to the Emergency Decree aim to supervise digital assets that are appropriate in accordance with the characteristics and risks of each type
+%22electrica... PowerPoint Presentation Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance
token distribution.SEC Deputy Secretary-General Tipsuda Thavaramara said : “the proposed revision is an attempt to find a balance to supervise and reduce obstacles in practices from the regulations