The warning came after the SEC had received information from the concerned public and stakeholders who noticed that unlicensed business operators in the securities and digital asset sectors
the civil monetary penalties above, the SEC released a public warning against solicitation for investment in Mandawee Tour on 11 August 2017 around the time when the SEC received the referrals to the
uses the account opened for the purpose of trading digital assets as a means of payment for goods and services, the digital asset business operator is required to issue a warning regarding the misuse of
Thai public and investors to use its services, either via its website or Facebook Page: Binance Thai Community. On 5 April 2021, the SEC issued a warning letter requiring Binance to submit a written
procedure for selling of high risk securities such as suitability test, key information disclosure and warning of the securities? high risks or complexity.? Mr. Vorapol added.
by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication with or providing services to a client , [ii] any warning or [iii] signing acknowledgement or
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
. (2) the client gives consent to the intermediary for temporarily suspending services as derivatives agent, closing a trading account, limiting positions or trading volume, closing out the positions or
. (2) the client gives consent to the intermediary for temporarily suspending services as derivatives agent, closing a trading account, limiting positions or trading volume, closing out the positions or
increase liquidity and support the expansion of core business. 6. Characteristics and scope of interests of connected persons when agreeing to enter into the connected transaction PRG is a major shareholder