Pursuant to the existing regulations that have been effective since 2004, listed companies are required to pay an annual fee for submission of the annual registration statement to the SEC. In this
SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
market environment. While digital asset businesses are innovative and constantly related to technological advancement and financial innovation, SEC continues to promote the optimal use of digital assets
หัวข้อ “Gender Diversity for a Fair Business Environment” โดยได้กล่าวถึงแนวทางการดำเนินการที่สำคัญของ ก.ล.ต. ในการส่งเสริมเรื่องความเท่าเทียมกันทางเพศ ซึ่งเป็นเป้าหมายหนึ่งของเป้าหมายการพัฒนาที่ยั่งยืนของ
environment without being subject to the existing regulations.
investors. Such new regime would promote a market environment conducive to competition in line with the Ease-of-Doing-Business Policy of the public sector. The new regime would also keep the existing
, to attend an ESG training course in addition to the existing compulsory training courses on rules and regulations, ethics or relevant laws, to ensure sufficient knowledge and regular review thereof in
As a result of the current situation, business operators have to self-adjust in response to technological disruption, the changing environment, and investors’ changing behaviors in order to
on review of rules and regulations to maintain only necessary ones and ensure effective enforcement, can help SEC build a body of standard regulations in line with the changing environment without
The MoU strengthens the existing relationship between the UK and the SEC, formalising collaboration in areas including accounting standards; the development of Financial Technology (FinTech) to