of 10 million baht (except for private placement of up to 10 B/Es at any time) and must have a warning that such B/E is not entitled to protection of the Deposit Protection Agency. To limit investment
stocks : Unlicensed securities and derivatives business (Disclosure Date : 30/05/2024) http://market.sec.or.th/public/idisc/en/Viewmore/invalert-det?CaseID=0755&CaseYY=2567 SEC public warning of
nature of the mutual fund’s utilization of its assets may cause uncertainty to the amount of its earnings, a warning that unitholders’ benefits or returns may be significantly affected, etc.; (3) a warning
The warning came after the SEC had received information from the concerned public and stakeholders who noticed that unlicensed business operators in the securities and digital asset sectors
suppressing unlicensed digital asset businesses, while protecting users from lack of legal protection and mitigating risks of scams and money laundering.” Earlier, the SEC issued a public warning regarding
Custody of Assets of Clients by Securities Companies
Custody of Assets of Clients by Licensed Derivatives Brokers
Custody of Assets of Clients by Securities Companies (No. 3)
Custody of Clients’ Assets by Securities Companies (No. 4)