Bangkok, October 9, 2008 ? The SEC yesterday conducted a raid and filed a complaint against O.L.T. Enterprise Co., Ltd., the fourth company this year, for undertaking derivatives business without
., (3) World Trading Prosperity Co., Ltd., (4) WSD Financial (NZ) Ltd., and (5) WSD International (Thailand) Co., Ltd. to operate derivatives business without license, and against the companies and their
information that they have solicited the public into making investment in futures contracts, falsely representing themselves as branch offices of brokerage houses in Hong Kong and New Zealand.These companies
Bangkok, February 3, 2010 ? The SEC has announced three revisions to the rules governing securities businesses and their personnel, as follows: 1. Investment advice of foreign securities
Following the tips from various sources to SEC, there are solicitations via social media platforms regarding investment in digital assets in addition with claims of several exchange services for
which may affect the rights and interest of digital asset holders or investment decision-making. Any entity wishing to operate a digital asset business must obtain an approval from the Minister of
service presentation, as a resolution to the issue of investment and savings towards the investing public. The regulations also emphasize on the significance of self-supervision for business providers.SEC
as updates on trends and the impact of changes in the industry. Also featured was a case study on integrating ESG criteria into investment analysis and investment decision making, which investment
Bangkok, March 12, 2013 ? The SEC is seeking public comment on proposed regulatory revisions to increase the numbers of intermediaries for the sale of investment units and investment advisors in the
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to