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
July 2016. {X1} later revised and improved the working system of its securities business and set up more efficient measures for preventing and detecting irregularities thereof.Investors are strongly
made-up investment project. In so doing, Panita replaced the names of the depositors with those of several other clients who were related to herself and used the money to trade securities via the trading
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
companies and their affiliates, both in the Stock Exchange of Thailand (SET) and the Market for Alternative Investment (MAI) Ms. Ruenvadee Suwanmongkol, SEC Secretary-General said, “One of the SEC’s key
total reported cases, have already been closed. The remaining instances are either newly reported or currently in the process of being addressed. For the reports of investment scams through social
and international levels. The proposed amendments cover permission for persons other than securities issuers to apply for securities listing on the Stock Exchange of Thailand (SET) while those who
SEC Secretary-General Ruenvadee Suwanmongkol said that bonds are an important mean of fund-raising that the business sector uses to create liquidity and expand their businesses, as well as use as
Securities and Exchange Act of 1992. Their actions therefore were in violation of Section 90 and liable to penalties under Section 289, which are imprisonment for a term of 2 to 5 years and a fine from 200,000