caution when allowing unlicensed business operators to set up exhibition booths, as this may inadvertently facilitate illegal activities. The SEC has been monitoring and observing events or exhibitions
, including those from foreign countries, as they are not under the SEC’s supervision and may pose a risk of fraud and scams. Concurrently, the SEC urges event organizers to exercise caution when allowing
On 17 September 2021, the SEC sent a circular to all listed companies advising listed companies that invest or plan to invest in digital assets to exercise discretion in making decisions regarding such investment. This is to prevent material impacts on the companies’ financial position or operating results as digital asset investment is usually exposed to relatively high risk from price volatility. In addition, the SEC reiterates that listed companies should take action and consider various fact...
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
urges the private sector to exercise caution and refrain from using response letters in such manner.In any case, the SEC’s response letters to inquiries may contain facts that have changed or are specific
before making a decision to use the services and [ii] possible risks arising from using the services: (1) general information of the intermediary ; (2) characteristic, scope and condition of a service
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
knowledge on financial, investment, and deposit protection, as well as to raise caution of investment scams. The topics covered deposit protection, the “Three Knows” (Know Oneself, Know Others, Know Own Risks