currently more than 9,000 funds, or check whether any juristic person or person is properly licensed or approved in the capital market. By 2018 SEC aims to expand the scope of data services to be more

Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and

licensed to operate securities business in accordance with the Securities and Exchange Act of 1992. Their actions are in violation of Section 90 and liable to the penalties under Section 289, i.e

funds from overseas to make investment based on his advice for the sake of tax benefits and long-term return. The investors followed his advice but suffered loss.? Mr. Malpass was not licensed to operate

persuaders on whether or not they are licensed as the digital asset business operators on SEC list. Those who are not listed and intend to operate digital asset businesses can request SEC for licenses and

especially when being approached by someone not on the SEC approved/licensed list. For inquiries and further information on digital asset investment, call SEC Help Center Hotline 1207. “Additionally, as seen

Business License to provide services related to equity instruments and Private Fund Management License. In addition, the amendment would allow intermediaries licensed to undertake private fund management

and oversight that suitably apply to licensed corporations of different risk levels as well as diverse natures of business operation, organizational structure, business size, and complexity of the used

involved and, if interested to make an investment, contact only legally approved digital asset business operators. For more information and the SEC list of approved or licensed entities, please visit

issuers.Moreover, considering the potential of banks and their subsidiaries to provide selling agent services for ASEAN CIS, the SEC has coordinated with the Bank of Thailand to allow the banks licensed to undertake