compliance; (2) Revoking notifications that are no longer necessary or become overlapping, for example, repealing the rule requiring asset management companies to notify the fund’s annual report
by requiring the auditors to obtain prior approval from SEC. In addition, the auditors must be associated with the audit firms recognized by SEC. The auditors, however, shall not be director, manager
undue burden to the business. SEC, therefore, proposes to amend the regulations by requiring the business operators to submit the report in electronic form instead of paper in order to reduce burden on
sanction proceedings against Apichart, Eng and Supanee requiring each offender to pay civil monetary penalty, disgorge the benefits of loss avoided from committing the offenses, and reimburse the SEC’s
application process, requiring the foreign issuer to file an application with the SEC directly without the need to obtain a prior approval from the Ministry of Finance; (2) To require the foreign issuer of
long term for the benefit of beneficiaries or clients. The over-arching obligation of every investment institution is to promote and safeguard the interests of beneficiaries or clients. This is often
gas emissions, safeguard water resources and protect forests. Over 14,000 organizations around the world disclosed data through CDP in 2021, including more than 13,000 companies worth over 64% of global
December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client
(SEC) has issued regulations requiring digital asset business operators that provide custody of clients’ digital assets to establish a digital wallet management system to accommodate efficient custody of
SEC issued a warning letter requiring Binance to submit a written response but Binance failed to submit a response within the specified time. The aforementioned activities of Binance is liable to