electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past

margin loans and the loans to any particular client to ensure greater caution;   (3) To establish a concentration ratio for the securities used as collateral by each customer, ensuring it does not exceed

percent of the total industry AUM. In all cases, asset management companies must exercise caution when considering appropriate investments. Mrs. Waratchya Srimachand, SEC Deputy Secretary-General, said

the SEC have been shut down. The SEC strongly advises the public to exercise caution when being solicited to make investment in possibly fraudulent schemes, the red flags of which are, for example

increasing the speed and caution for the enforcement process as well as promoting cooperation for human resources development, sharing of knowledge and technological know-how to ensure justice in the

;       4)  To revise the disclosure on risky debt securities by mandating a warning statement of investment risk of such products; and       5)  To enhance disclosure of significant information that may have

business operators which may be considered an act of co-principals or accomplices of the offenses.The Securities and Exchange Commission (SEC) has issued a warning about the provision of services that may

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