unlicensed broker-dealer securities business under the names of Benson Dupont Capital Management and Morgan Pacific, which sold shares of five listed companies in the U.S. to investors benefitting from trading
restriction of rights and liberty of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the
derivatives intermediary. “client” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary. Clause 2 In
intermediary. “client” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary. Clause 2 In order that an
processed through https://publish.sec.or.th/nrs/2857pe.doc ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ calculation as specified in Clause 3. (2) “ electronic data” means statements that are created, sent
behaviors of placing trading orders in a manner that misled the public about the price or trading volume of securities, including the placing of consecutive trading orders aimed at deviating the price or
a person has committed a legal offense involves the investigative powers of the inquiry officer, the decision to prosecute by public prosecutors, and ultimately the judicial discretion of the court in
arranging a trading system to facilitate digital asset trading with a fee collected at the rate of 0.1 percent of the customer’s trading value, had solicitation and advertisement in the Thai language to
paid-up capital suitable for the business nature and risks instead. In addition, the SEC Board has the power to exempt certain business undertaking from being classified as securities business such as