servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
(SIDREC) จากมาเลเซีย และ Ms. Gabrielle Hart, General Counsel, Securities Exchanges Guarantee Corporation Limited (SEGC) จากออสเตรเลีย ร่วมถ่ายทอดประสบการณ์การจัดตั้งและการดำเนินงานของหน่วยงานต่างประเทศ ณ
considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee
customers’ assets in its possession to have at least 2 audit responsible for recipience notified from the auditor that may report doubtful behavior which directors or managers have committed an offense as
, claiming returns from cryptocurrencies, digital tokens or package investment plans in the form of Ponzi scheme. Solicitors may also promise or guarantee attractive returns, luring investors into quick
guarantee of returns, and that unit redemption ahead of the target date set in the investment scheme is not allowed must be clearly communicated to investors.In addition, advertisement based on past
possession of prohibited characteristics by the persons on the SEC Arbitrators List. The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit
having medium to high risk level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete
level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete and accurate information in
specific features of trigger funds. For example, fund intermediaries must strictly clarify that the trigger point is not a guarantee of returns, and that unit redemption ahead of the target date set in the