entities allegedly solicited the public to invest or use their services at their booths during a FinTech exhibition at a hotel. In this regard, the SEC coordinated with the venue owner and the event
Ms. Ruenvadee Suwanmongkol, Secretary-General of SEC said: “SFF 2020 organizes by Monetary Authority of Singapore (MAS) and is considered as a global FinTech exhibition. SEC firstly joined and
Bangkok, November 12, 2015 ? The SEC will continue its drive to promote financial literacy and investor education via the SEC Open Space multimedia exhibition at the SET in the City 2015.?This year
บลจ. นำคำแนะนำไปเผยแพร่ต่อผู้ลงทุนรายอื่น ถือว่าเข้าข้อยกเว้นที่ไม่ต้องขอ IA License (ประกาศที่ กธ. 1/2560) หรือไม่ คำตอบ : การให้คำแนะนำเฉพาะแก่ผู้ลงทุน
แต่มีปัญหาเกี่ยวกับระบบงานบกพร่อง จะถูกจำกัดให้ไม่สามารถขอเริ่มประกอบธุรกิจหลักทรัพย์ประเภทอื่น (activate license) ที่กำหนดในใบอนุญาตด้วยหรือไม่ คำตอบ : ผู้
business license, Sor-1 type, for failure to maintain the required qualifications, effective 24 July 2023.The SEC is responsible for ensuring derivatives business operators’ compliance with the applicable
within the specified time. The aforementioned activities of {X1} is liable to operating digital asset business in the category of digital asset exchange without license, which is a violation of, or
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
Bangkok, April 4, 2011 - The SEC Board at its meeting No. 4/2011 today has approved the issuance of new license for undertaking brokerage business limited to precious metals derivatives covering gold