Holborn Assets : Unlicensed securities and derivatives business (Disclosure Date : 16/10/2020)
issuers, related intermediaries and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor
dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
to be digital assets (called by many names such as coin, token or digital coin), as follows: (1) Every Coin(2) Orientum Coin or ORT Coin(3) One Coin and OFC Coin(4) Tripxchain Coin or
Investor Alert สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 13 August 2024 10:30 Investor Alert Investor Alert ( 2484 record(s) found) Name Type of action Disclosure Date Link
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on continued quality development and investor protection reliability of such business operators. This
perform duties or provide services honestly and a wrongful treatment of investor assets in contravention of the governing Notification of the Capital Market Supervisory Board. The SEC therefore revoked his
incurred the total damage of 6.95 million baht onto the investor. SEC has considered that {A} failed to perform duties with loyalty* by committing wrongful acts against the investor’s assets, which was