records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. Therefore, the SEC
Businesses and in alignment with the specific characteristics and risks associated with different types of digital assets* while adhering to international guidelines and the practices of foreign
enhance the efficiency of the existing provident funds. Essentially, the key principles of the amendments are as follows: 1. Fund management and structure: e.g., revising provisions to support the
Bangkok, October 2, 2015 The SEC has rolled out an initiative to enhance sustainability of the financial reporting ecosystem, which is paramount to the integrity and soundness of the Thai capital
Bangkok, February 9, 2016 ? The SEC is seeking public comments on draft amendments to several regulations governing provident fund (PVD) management to promote PVD as an effective savings chanel for employees. The revision aims at encouraging employees to save more, save longer, and save smart, to enjoy better quality of life after retirement.The proposed amendments would require that asset management companies comply with the following key regulations: 1) To provide several investment plans f...
Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such variations have caused SEC extra time on processing the data for regulatory use. In addition, the current regulation which requires the operator to submit the report in paper form to SEC has incurred an undue burden to the business. SEC, therefore, proposes to amend the regulations by requiring...
Holborn Assets : Unlicensed securities and derivatives business (Disclosure Date : 16/10/2020)