Facebook page "OKJ-Safe Greens" : Unlicensed securities and derivatives business (Disclosure Date : 01/08/2025)

their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

perform duties or provide services with loyalty by committing wrongdoing against investor assets. Both cases constitute prohibited characteristics for personnel in the capital market business under the

Type of securities : Common share | Effective Date : 20/10/2023 | Close Selling Date : 27/10/2023

providing services to clients with loyalty while applying knowledge and skills with discretion as professional. In the case of SKFM, SEC ordered the company, a small-sized asset management company whose

Offeror : NHCT Co.,Ltd. | Date of submission of the Statement of Intention : 05/08/2008

cyber threat to ensure that clients’ digital assets under their custody are safe. Essentially, digital asset business operators are required to establish a cybersecurity system in accordance with the

Facebook page "Gold Investment Safe" impersonates "HUA SENG HENG Co., Ltd." : Unlicensed securities and derivatives business (Disclosure Date : 08/05/2025)