The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements

Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public

>วันที่ถาม : 23/02/2559 วันที่ตอบ : 07/03/2559 คำถาม : บลจ. ก สอบถามประเด็น securities lending ของกองทุนรวมว่า

servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter

Rules, Conditions and Procedures for Securities Borrowing and Lending

Re: Operations Relating to Lending of Money for Purchasing Securities and Lending of Securities to Non-Institutional Clients for Making Short Sale By virtue of Clause 5 of the Notification of the

providing service, internal control system and risk management system for the securities borrowing and lending business, which exhibits that the business operator is ready and capable to comply with the rules

Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its internal guidelines on internal control and risk management