supervision scheme follows a similar regulatory framework to the one governing equity crowdfunding in several dimensions including: (1) issuers are allowed to offer either secured or unsecured debentures via

planning whereby securities brokers and derivatives agents would be allowed to offer services on asset allocation and investment planning in the forms of program trading and portfolio advisory with

organizing a unitholders’ meeting or through a letter seeking the unitholders’ resolution. As an alternative, asset management companies are allowed to seek a unitholders’ resolution if the unitholders

qualifications and smart contracts by SEC-approved ICO portals; (3)   There might not be enough necessary information disclosed for investors.(4)   These is no business operators under SEC supervision allowed

royal decree on digital asset businesses took effect since 14 May 2018. Offering or persuading to invest in digital assets are allowed after receiving SEC approval. So far, there has not yet been any

admitted that the client allowed him to sell the securities in cases of making profit or potential loss. From his conversation with the client recorded, he traded securities for the client several times a

by Noppawan and Viroj who allowed their separate trading accounts to be used for the YCI transactions in exchange for compensation.The aforesaid offenses were in violation of Section 243 of the

made within two months as from a grant of loan. Previously, the SEC Board allowed the same period for establishment of type 1 property fund and increase in scheme capital for additional investment. ?The

, for the benefit of his own or others, also transferred the client?s deposits placed with the company to the accounts of other clients that he was allowed to use. Chalerm?s actions were deemed dishonesty

cease. He is therefore no longer allowed to perform duties as capital market personnel. In any case, filing a criminal complaint with the DSI commences criminal justice administration whereby any person