all directors, executives, employees and staff. The board should ensure adequate mechanisms are in place for monitoring, reviewing and reporting compliance with the company’s policies and guidelines
authorization. Under the ARFP framework, efforts are made to unify the mutual entry processes for funds that are managed in accordance with the ARFP rules agreed upon among the relevant regulators of the
Digital Asset Regulatory Sandbox to facilitate experiments and the development of innovations supporting the efficient provision of digital asset services in the real-life context. Interested parties are
, and some also suggested that the timeframe for the preparation and disclosure of PVD factsheet should be consistent in practice across all asset management companies (AMC). The SEC has taken the
prepared in accordance with the format and contents provided herein . On-going requirements of CIS Operator The followings are on-going requirements for CIS Operator who makes offerings of either
), Asian Corporate Governance Association, and the Codes of Corporate Governance of some countries, e.g., Australia and the UK. The ACGS assessors are Domestic Ranking Body (DRB) for each country, which in
conduct any of these new businesses is required to apply for an applicable license with SEC. In this regard, SEC adopts the regulations on business conducting for “Digital Asset Investment Advisor” and
securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10
extended to such fund raising method and a smart contract has not yet covered an enforcement of investors’ rights in some issues which are activities occurring outside blockchain * and are not based on the
their needs for advisory services of financial planning to attain targeted savings, do not have access to these services. The existing advisory services are catering primarily to high net worth investors