capital market regulator, the SEC understands the need to study the market landscape, competition structure and business undertaking of the securities business operators including the trends and factors
fintech expo and found a number of business operators who may be liable to undertaking securities business, derivatives business or digital asset business without license. Additional evidence was collected
Bangkok, May 15, 2015 ?The SEC is seeking public comment on revisions of rules for securities and derivatives business operators in the areas of fiduciary duties, organization structure, operating
securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered
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