insurance are combined, at least under a common holding company. There is little guidance on how such financial conglomerates should be overseen or regulated beyond general requirements to separate certain

Advisors are Broker/Dealers. • Broker/dealers must obey “suitability” standard of conduct but not “fiduciary duty” • Broker/dealers are regulated by FINRA REGULATORY REQUIREMENTS Provide regulator with

public in Thailand: (a) the Hong Kong Covered Fund shall meet the eligibility requirements in accordance with this circular and comply with all of the applicable requirements set out in this circular (see

with disclosure requirements or for securities fraud.  Company, commercial and insolvency laws and the judicial system should help creditors enforce their claims in an equitable manner, in accordance

trial); (3) procure an efficient market surveillance system which shall include at least the following requirements: (a) an information recording system that provides accurate and up-to-date unique

: Clause 1. The following Notifications shall be repealed: (1) Notification of the Securities and Exchange Commission Re: Requirements relating to Accounting of Securities Company dated 18 May 1992; (2

Commission, Thailand (“SEC”) is seeking public comments on the proposed principles and regulations concerning Digital Asset Custodial Wallet Providers to ease the requirements for these providers that has

to the public in Hong Kong: (a) the Thai Covered Fund shall meet the eligibility requirements in accordance with this circular and comply with all of the applicable requirements set out in this

unitary board is overseen by an internal auditor’s body, the principles applicable to the board are also, mutatis mutandis, applicable. As the definition of the term “key executive” may vary among

understanding of their roles and building their readiness for discharging duties more efficiently and effectively. Additionally, the SEC reviewed the accuracy of financial reports of listed companies, supervised