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
strongly advised to do business with only licensed derivatives dealers or agents. The official list of the SEC-authorized derivatives business operators is viewable under the topic ?Derivatives Agent? at the
Bangkok, December 18, 2009 ? The SEC has filed another criminal complaint against persons who allegedly colluded with (1) Wang Lee Global Market Co., Ltd., (2) Glory Prosperity (Thailand) Co., Ltd., (3) World Trading Prosperity Co., Ltd., (4) WSD Financial (NZ) Ltd., and (5) WSD International (Thailand) Co., Ltd. to operate derivatives business without license, and against the companies and their associated persons for defrauding the public. Earlier on June 25, 2009 the SEC filed a criminal comp...
Bangkok, June 25, 2009 ? The SEC together with the Economic and Cyber-Crime Division (ECOTEC) of the Royal Thai Police today conducted raids on the premises of five companies after having received information that they have solicited the public into making investment in futures contracts, falsely representing themselves as branch offices of brokerage houses in Hong Kong and New Zealand.These companies are: (1) Wang Lee Global Market Co., Ltd., (2) Glory Prosperity (Thailand) Co., Ltd., (3) World...
and derivatives business operators to support the government’s policy above and align with the holiday schedule established for financial institutions and specialized financial institutions.
Earlier, the SEC conducted a public hearing on the principles for revising the rules on the maintenance of net capital adequacy for business operators in the part related to the use of subordinated
With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their
The warning came after the SEC had received information from the concerned public and stakeholders who noticed that unlicensed business operators in the securities and digital asset sectors