securities outside the stock exchange if abiding by the regulations, conditions and procedures set by the SEC Office. Earlier, the law prohibited such companies to trade securities outside the stock
principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC
the issuer to support sufficient distribution to retail investors.The proposed amendments have taken into account stakeholders? opinions received from the hearing on the guiding principles conducted in
auditors in the capital market, and to grant a fee exemption for resubmission of the application for approval of auditor in the capital market for the applicants who affiliated with audit firms outside
other laws outside the SEC’s jurisdiction, the SEC will coordinate with relevant authorities to take an appropriate action.The SEC urges the public and investors to exercise caution when using services of
requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without
an enforcement of investors’ rights in some issues which are activities occurring outside blockchain* and are not based on the smart contract. Such activities include rent fee collection and payment
strongly advised to thoroughly check and make sure that all receipts or evidence of payment are issued by the companies in charge. In case of making an agreement to buy an investment product outside the
societal and stakeholder needs has become equally vital to survival and competitiveness of their businesses as it does raise level of business credibility in and outside organization. Moreover, all listed