institutional and high net worth investors and an offering to a limited number of specific investors are more relaxed than those governing a general public offering.? However, recently there have been some cases
Bangkok, 12 January 2024 – The Securities and Exchange Commission (SEC) is seeking public comments on proposed amendments to the regulations requiring audit firms to maintain a minimum number of
meeting promptly so as to give shareholders an opportunity to appoint those they find appropriate as new directors, and to explain how his request for the DBD to review its decision or the intention to
"FIRE-UP" : Unlicensed securities and derivatives business (Disclosure Date : 26/08/2025)
FIRE-UP : Unlicensed securities and derivatives business (Disclosure Date : 05/09/2025)
Recent news reports on cyber attack on a foreign decentralized finance platform, which resulted in tremendous loss of clients’ digital assets, have raised concerns over cybersecurity. The SEC is therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide services to investors continuously and clients’ digital assets are securely safeguarded. The SEC...
in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest
Facebook page "Give Financial Advice" impersonates CP ALL Plc. : Unlicensed securities and derivatives business (Disclosure Date : 11/09/2024)
alternatives, expand the number of sustainability-conscious investors, increase the proportion of institutional investors focusing on sustainability-related stocks, and ultimately incentivize listed companies to
provide an understanding on the roles of SEC and SEC Check First application, an application for searching up list of approved products, persons, and legal persons, and the Retirement-Checkup