other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past performance of (specify the name of the fund) is not indicative of future performance

mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return

electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past

business operators which may be considered an act of co-principals or accomplices of the offenses.The Securities and Exchange Commission (SEC) has issued a warning about the provision of services that may

The warning came after the SEC had received information from the concerned public and stakeholders who noticed that unlicensed business operators in the securities and digital asset sectors

advantage of the fund and its holders. In cases where front running is committed by an executive of an asset management company under the SEC?s supervision, administrative measures, i.e., warning, probation

procedure for selling of high risk securities such as suitability test, key information disclosure and warning of the securities? high risks or complexity.? Mr. Vorapol added.

the civil monetary penalties above, the SEC released a public warning against solicitation for investment in Mandawee Tour on 11 August 2017 around the time when the SEC received the referrals to the

investors to use its services, either via its website or Facebook Page: {X1}. On 5 April 2021, the SEC issued a warning letter requiring {X1} to submit a written response but {X1} failed to submit a response

public warning of solicitation for investment in digital assets to be digital assets (called by many names such as coin, token or digital coin), as follows:  (1)   Every Coin(2)   Orientum Coin or ORT Coin