of the public and investors. The SEC encourages the investing public to be cautious when solicited to take investment advice or use services of unlicensed operators of securities, derivatives and

use of a client’s assets, fiat money and digital assets for the benefit of another client or any other persons shall be prohibited and clients’ assets shall be reconciled every business day to ensure

at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false

% paperless submission. The system has completed and has been already to use since the first quarter of 2020.2. Project to revise the filing form for offering debt instruments. A total of 32 filing forms will

conduct must be as strict as those imposed on the sale of high-risk products and the associated risks must be clearly disclosed;  (8)  Debt issuers must use the raised money to repay for the earlier

Must Manage in This Changing World” emphasizes 4 types of challenges that are significant turning points, including the era of quickly shifting technology, the use of benefits from ASEAN becoming

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

companies, as an institutional investor, understand the risks and effects of climate change on business operations; and (3) to promote role of Thai capital market as one of the driving force to help

one of SEC’s missions to help SMEs and Startups to easily access funding sources in capital market. Specifically, the SMEs’ and Startups’ fundraisings need to be economical, suit the business needs

aided and abetted Devere & Partners and Mr. Ian McIntyre by allowing them to use the name and email of Broadgate for undertaking such unlicensed business.Actions of the three persons above violated