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
In this regard, the SEC reiterates its warning to DA business operators to fulfill their duties in safeguarding clients’ digital assets in accordance with established criteria, with a primary
; 4) To revise the disclosure on risky debt securities by mandating a warning statement of investment risk of such products; and 5) To enhance disclosure of significant information that may have
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
uses the account opened for the purpose of trading digital assets as a means of payment for goods and services, the digital asset business operator is required to issue a warning regarding the misuse of
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
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
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
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.
suppressing unlicensed digital asset businesses, while protecting users from lack of legal protection and mitigating risks of scams and money laundering.” Earlier, the SEC issued a public warning regarding