The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of
, for further in-depth investigation. Remark:* SEC News No. 134/2025, headlined: “SEC issues warning about blocking access to Bybit, 1000X, CoinEx, OKX, and XT.COM platforms on 28 June 2025 to protect
inappropriate acts have been committed and consequently subject to correction measures such as SEC order of financial statements rectification, and SEC warning for the shareholders to exercise voting rights. The
investment. It must provide an appropriate warning to ensure investors are alerted to potential risks. The marketing campaigns must not induce or accelerate investment decision making with a lack of
resilience among 186 senior participants. She highlighted common forms of online investment scams and key warning signs to help the public protect themselves from becoming victims, while emphasizing the
investors to obtain further information about digital assets. The advertisements also failed to include required warning statements or provide an audible presentation of such warnings. Furthermore
Statement (“Registration Statement”), and the effective date of the Registration Statement; - Specify the investor warning as follows: “Before investing, investors must exercise their discretion in
ของ early warning ใหสะทอนคาความผันผวนของเงนิ กองทุนที่ตองดํารง และนยิามของหนี้สินพเิศษที่ไมตองนาํมารวมในการคํานวณเงินกองทุนสภาพคลอง สุทธิ ดังนั้น เพื่อใหบริษัทหลักทรัพยและตัวแทนซื้อขายสัญญาฯ
allocation prepared prior to investment. 3.2.3 Monitoring and Control of Investment (1) Having an early warning system to ensure that investment has been done in accordance with investment limit of each scheme