Mountain Capital Fund : Unlicensed digital asset business (Disclosure Date : 09/01/2024)
sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC
by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and concealed important information which may have caused misunderstanding or distorting of the facts. As a result, the SEC will not consider her renewal application for nine months.From a client complaint of Globex Securities Co., Ltd., the SEC found from the investigation that {A}, a former capital market...
: Thai SEC’s Impact on Financial Innovation” ในงาน Block Mountain 2025 “Spark the Future: Explore Web 3.0 Experience” เพื่อแสดงให้เห็นถึงแนวทางของ ก.ล.ต. ในการส่งเสริมการระดมทุนผ่านโทเคนดิจิทัลและการนำ
Digital Asset Regulation: the Thai SEC’s Impact on Financial Innovation” at Block Mountain 2025: “Spark the Future: Explore Web 3.0 Experience” event. As a guest speaker, the SEC Director highlighted the
facts confirmed by Zipmex Thailand. Therefore, it is considered that Zipmex Thailand deceived by presenting false statements and concealing facts that should have been disclosed to its clients, which led
liable to the offenses under the Securities and Exchange Act B.E. 2535 (1992)(SEA), as summarized below: 1. Concealing material facts regarding the interim dividend payment before the IPO, which should
criminal complaint against Roynet Plc. (Roynet) and Kittipat Yaoprukse for falsifying account to deceive other persons, recording false statement, concealing the report on buying and selling of securities