following regulations: Clause 1. The civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration
considered to settle his current case with harsher punishment.
careful. However, several instances found during our inspections seemed to suggest otherwise, especially regarding the insufficiency of audit evidence to support its conclusions, inappropriate procedures
served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the
strongly advised to be careful with such manner of solicitation above and verify the existence of the solicited shares or examine if the offering in question has been properly filed with the SEC before
Facebook accounts are not licensed securities or derivatives business operators in Thailand. Investors are therefore advised to be careful with any investment solicitation of such entities because the
have been neither filed for approval nor existed on the list of SEC-approved digital assets. Therefore, investors are advised to be careful when receiving information or solicitation to invest in such
companies should be careful in disseminating news or information related to the companies’ operations because disseminating news or information that is inconsistent with facts or may cause material
investment, please be careful and check for more information from the SEC website (www.sec.or.th) under ?License Check? and ?Investor Alert? banners. In case of suspicious unlicensed activities, please call
or under SEC’s supervision. SEC therefore advises investors to be careful if solicited to invest in such products. Investors must be seriously aware of the risks involved and, if interested to make an