caution when allowing unlicensed business operators to set up exhibition booths, as this may inadvertently facilitate illegal activities. The SEC has been monitoring and observing events or exhibitions
, including those from foreign countries, as they are not under the SEC’s supervision and may pose a risk of fraud and scams. Concurrently, the SEC urges event organizers to exercise caution when allowing
On 17 September 2021, the SEC sent a circular to all listed companies advising listed companies that invest or plan to invest in digital assets to exercise discretion in making decisions regarding such investment. This is to prevent material impacts on the companies’ financial position or operating results as digital asset investment is usually exposed to relatively high risk from price volatility. In addition, the SEC reiterates that listed companies should take action and consider various fact...
urges the private sector to exercise caution and refrain from using response letters in such manner.In any case, the SEC’s response letters to inquiries may contain facts that have changed or are specific
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding services including appropriate information and caution to each type of the client . In case the
knowledge on financial, investment, and deposit protection, as well as to raise caution of investment scams. The topics covered deposit protection, the “Three Knows” (Know Oneself, Know Others, Know Own Risks
invest in such products should proceed with extra caution since:(1) The product above has not been screened with regard to its qualifications and smart contracts by SEC-approved ICO portals; (2