Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
case that any party claims to be an intermediary, either as digital asset exchange, broker or dealer, SEC suggests that investors should verify their legitimacy via the list provided on the SEC
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
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
นหนวยลงทุน (Limited Broker Dealer Underwriter – LBDU) สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th) อาคารจีพีเอฟ วิทยุ ช้ัน 10, 13-16 93/1 ถนนวิทยุ แขวงลุมพินี เขตปทุมวัน
violations; 1.4.2 There are procedures for suitable and timely punishment or management of the violations; 1.4.3 There are timely and suitable corrections for the violations of rules for integrity and code of
services and they will proactively contribute to the campaign by, for example, screening and selecting prominent mutual funds suitable for long-term saving and investing, providing consultation and advice on
controlling and managing the budget as well as choosing the suitable material to the products. 3. The Group’s selling and administrative expenses for the quarter ended 2018 and 2017 were Baht 27.49 million and