Presently, several companies are interested to raise fund through digital token offer to finance their investment in office buildings or condominiums which will later be rented for income shared to holders of digital tokens or real estate-backed initial coin offering (ICO). Meanwhile, the regulations have not yet extended to such fund raising method and a smart contract has not yet covered an enforcement of investors’ rights in some issues which are activities occurring outside blockchain...
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on quality and reliability enhancement of such business operator to protect investors. This means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC conducted a public hearing on a proposed amendment to the regulations on custody of clients’ assets....
Investor Alert สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 13 August 2024 10:30 Investor Alert Investor Alert ( 2484 record(s) found) Name Type of action Disclosure Date Link
GenesisTrade Trading Fund : Unlicensed securities and derivatives business (Disclosure Date : 22/11/2019)
Mountain Capital Fund : Unlicensed digital asset business (Disclosure Date : 09/01/2024)
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areas to enhance investor protection; for example, running public information campaigns to raise awareness about class-action litigation as a way to protect investors’ rights, improving the investor
กองทุน Global Wealth Fund (GWF) : Unapproved public offering of newly issued shares (Disclosure Date : 07/07/2020)