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
relevant regulations as long as they are subject to the complaint and the subsequent procedure, which caused their approved status to cease. They are therefore no longer allowed to perform duties as capital
preparation of consolidated financial statements as prescribed by the Federation of Accounting Professions; (4) PVDs will be allowed to invest in assets categorized as alternative investment which
indicating the client allowed {B} to make securities trading decisions on the client's behalf. In addition, OSK Securities probe further into the case and found that {C} failed to record several securities