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SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
, while reviewing the existing regulations to be in line with the current situations and remain as necessary for more convenience, less business-sector costs, lower burden on people and compliance with the
2012 issued regulations on the offering of ASEAN CIS to non-retail investors. This new regulation will be a codified set of new and existing regulations to accommodate both offerings to retail and non
As the SEC and SFC have developed the bilateral cooperative framework regarding HK-TH MRF to facilitate cross-border offerings of funds between Hong Kong and Thailand, this by extension will help
existing legal framework, be addressed to accommodate further development: 1. Enforcement Power: The SEC should have the authority to use civil proceedings to enhance the effectiveness of its legal
, SEC has developed, reviewed, and revised regulations on the operation of investment management business covering the management of mutual fund from launching to termination, by doing as follows