Recent news reports on cyber attack on a foreign decentralized finance platform, which resulted in tremendous loss of clients’ digital assets, have raised concerns over cybersecurity. The SEC is therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide services to investors continuously and clients’ digital assets are securely safeguarded. The SEC...
2023,” organized for judges and SEC employees. The annual seminar is part of the SEC Strategic Plan regarding collaboration with personnel in the judicial administration to enhance their knowledge in
2023,” organized for judges and SEC employees. The annual seminar is part of the SEC Strategic Plan regarding collaboration with personnel in the judicial administration to enhance their knowledge in law
to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87
The SEC held a group meeting with nine organizations to integrate collaboration to prevent and suppress digital asset-related frauds and promote investor education regarding digital asset
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
client and seeking benefits from the client during the performance of duties. From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that Acting Sub-lieutenant
Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the