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. However, the SEC will continue monitoring relevant developments, supervision, and actions in various aspects to ensure that effective investor protection measures will be in place before further developing
for equity crowdfunding. Furthermore, in the case of ICOs, imposing the aggregate limit would not be an effective investor protection mechanism. This is because it would be very difficult to enforce and
expects the companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of
contact, solicit or advise their customers, the Office expects the companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives
_____________________ ) Form 69 – CIS material update (effective date on _____________________ ) Form 69 – CIS material update (effective date on _____________________ ) Warnings: An investor considering the purchase
proposed to enhance investor education and effective disclosures. 14 Survey on the profile, trading experience and knowledge level of investors Investor education on SFC’s website - www.InvestEd.hk
: Website: Contact person: Email: CIS operator is under the supervision of: Name of local representative: Contact person: Email: Name of local intermediary: Contact person: Email: Warnings: An investor
amend the Securities and Exchange Act B.E. 2535 (1992), with the intention to more effective law enforcement and investor protection. Being a proud member of the International Forum of Independent Audit
. Effective enforcement would increase investor confidence and reduce regulator’s costs in relation to examination for the evidence to prove beyond a reasonable doubt. 3. Class action lawsuits would lower the