Earlier, the SEC received tips from the concerned public and stakeholders that unlicensed digital asset business operators, both local and foreign, were soliciting investments and services to the public at a financial technology exhibition held at a shopping center. The SEC thus conducted an on-site investigation to collect evidence. Today, the SEC and the ECD inspected the exhibition booths at the fintech expo and found a number of business operators who may be liable to undertaking securities...
Bangkok, April 10, 2014 ? The SEC is seeking public comment on relaxing a unit holding limit where any person or group of persons is allowed to hold not exceeding one-third of all units in a mutual
operator. Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure Code, after receiving the complaint, the inquiry officer will investigate the case
files a criminal complaint with Economic Crime Suppression Division (ECSD) requesting ECSD to investigate the wrongfully transferred of clients’ assets under control or in possession of BX Company Limited
The SEC is also working with the DSI in accordance with the bilateral Memorandum of Understanding for Cooperation to investigate EARTH’s suspicious acquisition of the legal rights over coal mines in
Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities
ever-growing asset management business by, for example, relaxing several requirements. In so doing, appropriate investor protection is maintained, and more investment choices promoted.? Such amendments
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
cannot conduct the asset appraisal, the fund/trust manager must request a waiver from SEC and must analyze the impact of COVID-19 on the fund and disclose it to investors, (7) relaxing the rule of
Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities and