Bangkok, June 24, 2010 ? The SEC yesterday filed a criminal complaint with the Crime Suppression Division (CSD) of the Royal Thai Police against four companies and 13 persons involved with business operation of such companies for operating derivatives business without license. The alleged offenders are C.N.B.C. (Thailand) Co., Ltd., T.N.N. (Thailand) Co., Ltd., G.L.E (Thailand) Co., Ltd., A.L.T.I Co., Ltd., Sakda Pannitamai (nicknamed Kwan/Sa/Pat), Chukiat Pannitamai (nicknamed Tong/Cat), Vorara...

operators. The SEC conducted a public hearing on the proposed principles and relevant draft regulations during 9 October – 7 November 2023. Most respondents supported the proposal for amending the advertising

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

Srimachand, SEC Deputy Secretary-General, said: “The SEC urges the event organizer to exercise caution when allowing unlicensed business operators to set up booths at the event, including platform service

operators. The proposed amendments are intended to facilitate monitoring and supervising the risk management of businesses, including systemic risk, ensure a fair and orderly market, to protect investors

Bangkok, March 2, 2016 ? The SEC has filed two criminal complaints with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against 11 offenders on account of operating securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered damage from proceeding accordingly. The first case involves four entities, namely: (1) Gilt Edge I...

Bangkok, March 21, 2016 ? The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against EMM Consulting Co., Ltd., Alan Sydney Roy Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of EMM Consulting to use their services and investment advice to tranform his pension fund abroad int...

Nowadays, private fund operators are required to separate investors’ assets from the companies and there are measures to protect investors’ assets for other benefits. Private fund operators also

financial advisory or planning services have been provided only to high-net-worth invertors. SEC then initiates the Wealth Advice for All project with the goal to encourage the business operators in the