Following the tips from various sources to SEC, it has been found that DB Hold had been soliciting people via social media to invest in newly issued shares alongside with products that may be liable to be digital tokens. With a claim to be around 500 million baht worth, these funds were said to be used for investing in several projects such as a digital platform for exchanging goods and services that may involve with electronic units named "DB coin" or "DB token", blockchain systems and ot...
publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook advertisements.Such acts may be unlawful and constitute an offence of luring and offering unauthorized
Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12 clients who were his friends, while {A} took such orders without any written authorization from those...
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
security within the organization in order that operation cross- check is performed for prevention of potential risks, for example, segregation of personnel who operate in the developmental function
security within the organization in order that operation cross-check is performed for prevention of potential risks, for example, segregation of personnel who operate in the developmental function
of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7. Computer
The SEC has found numbers of cases of online fraudulent actions involving the unauthorized use of names, logos, executive or staff images of the SEC, the capital market business operators as well
companies licensed to undertake the said businesses. In addition, the revisions will extend the scope of transactions subject to segregation to cover offshore securities trading service, brokering, dealing