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stakeholders regarding suspicious activities involving unlicensed securities companies, derivatives business operators, and digital asset business operators, including such business operators from abroad. These
Global Markets Ltd. (Navista) for operating derivatives business without license. Following the reports on their suspicious unlicensed derivatives activities, the SEC conducted raids on GISP?s office
on suspicious unlicensed activities indicating that the aforesaid operators engaged in the business of managing funds for others or holding themselves out as derivatives fund manager and private fund
examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for
advisors, and derivatives business operators are required to report suspicious transactions as specified by the law to the AMLO; which has the power to examine the report and information relating to
Time of Technological Transformation," organized by Bloomberg. During the session, Deputy Secretary-General Jomkwan shared insights on the utilizations of new technologies for detecting suspicious
/investorAlert Any signs and clues of suspicious activity can be notified through the “SEC Help Center”, Tel. 1207, or Facebook page “SEC Office” or SEC Live Chat on the SEC website.