The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and
Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses
complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within
Following public referrals and the SEC’s further inspection, it was found that investment in the aforesaid digital tokens had been solicited online via several social media channels such as website
center on September 27, 2023.The SEC conducted an onsite inspection and gathered evidence in this regard, reaching out to the event organizers and urging them to cooperate and cease the participation of
Division of the Royal Thai Police on account of offering securities for sale to the public without approval.According to the received information and the SEC?s further inspection on public solicitation for
Limited (SUPER) shares.Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further inspection has revealed that Khumsup took advantage of the material information, which had not been
committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd. Following the inspection reports of Globlex and KTB and her clients? complaints, the
suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country