operators. The SEC conducted a public hearing on the proposed principles and relevant draft regulations during 9 October – 7 November 2023. Most respondents supported the proposal for amending the advertising

Earlier, the SEC received tips from the concerned public and stakeholders that unlicensed digital asset business operators, both local and foreign, were soliciting investments and services to the

strongly advised to do business with only licensed derivatives dealers or agents. The official list of the SEC-authorized derivatives business operators is viewable under the topic ?Derivatives Agent? at the

and derivatives business operators to support the government’s policy above and align with the holiday schedule established for financial institutions and specialized financial institutions.   

Earlier, the SEC conducted a public hearing on the principles for revising the rules on the maintenance of net capital adequacy for business operators in the part related to the use of subordinated

With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their

The warning came after the SEC had received information from the concerned public and stakeholders who noticed that unlicensed business operators in the securities and digital asset sectors

December 2024 remains a business day for securities companies and derivatives business operators. This adjustment aligns with the holiday schedule of financial institutions and prevents undue cost burdens on

operators. This was followed by a focus group session aimed at gathering opinions from DA operators regarding the proposed amendments to the governance structure and qualifications of authorized directors and