uses the account opened for the purpose of trading digital assets as a means of payment for goods and services, the digital asset business operator is required to issue a warning regarding the misuse of
investors to use its services, either via its website or Facebook Page: {X1}. On 5 April 2021, the SEC issued a warning letter requiring {X1} to submit a written response but {X1} failed to submit a response
the civil monetary penalties above, the SEC released a public warning against solicitation for investment in Mandawee Tour on 11 August 2017 around the time when the SEC received the referrals to the
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
procedure for selling of high risk securities such as suitability test, key information disclosure and warning of the securities? high risks or complexity.? Mr. Vorapol added.
suppressing unlicensed digital asset businesses, while protecting users from lack of legal protection and mitigating risks of scams and money laundering.” Earlier, the SEC issued a public warning regarding
’ name MAJOR CINEPLEX GROUP PUBLIC COMPANY LIMITED Securities Code: MAJOR 2. Date of action resulting in reporting obligation 25/09/2019 Foreign Securities company MACQUARIE BANK LIMITED ( ) Direct
Biglot Mr.KYUNG JUN YU ( ) Direct sale/purchase ( ) Other (please specify) 3. Date of filing this report to the SEC 12/12/2019 90-day period (the first day being the date of action under item 2
’ name GLOBAL CONSUMER PUBLIC COMPANY LIMITED Securities Code: GLOCON 2. Date of action resulting in reporting obligation 11/12/2019 ( ) Direct sale/purchase ( ) Other (please specify) Trade
’ name HUMANICA PUBLIC COMPANY LIMITED Securities Code: HUMAN 2. Date of action resulting in reporting obligation 09/12/2019 Foreign Securities company INSTINET (ASIA) ( ) Direct sale/purchase