funding portal operation and suitability test in order to mitigate fraud risks and ensure that investors will be informed of risks associated with investment in SMEs, in particular startups, and liquidity
-to manual helping them ask necessary questions about investment products and making investment decision with more confidence. Moreover, they can try ?Financial Goal Calculator? to test whether their
to facilitate organization of seminar, preparation of investment manual for dissemination to investors and general public, function as a center for conducting suitability test for investors and provide
suitability test before letting clients make an investment, as specified by the SEC regulation. ?Our mission is to protect investors as well as facilitate fundraising for business sectors and develop financial
public by such securities companies and derivatives broker. In this regard, the SEC Thailand assumes no responsibility for verification, examination or certification of completeness, accuracy and update of
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
The SEC’s examination of facts in this case has led to the consideration that Zipmex disseminated or certified information that were potentially misleading in substance regarding digital asset
The SEC’s examination has revealed that GIFT’s 2021 annual financial statements showed a significant decline in performance, prompting a detailed investigation. The findings revealed that during 2019
in the occurrence of an Automatic Stay, and subsequently affecting the payment of interest and the repayment of all outstanding JKN bonds. The Court set the date for the examination of the JKN
Penal Code.Earlier, the SEC on March 16, 2012, had ordered GEN to rectify its financial statement 2011 due to the limitation on the auditor? examination by the company?s executives regarding the company?s