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
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
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ (please use an enclosure if there is more than one market maker) Part D: Participating Dealer (PD) of Foreign ETF in
.: _____________________________ Fax No.: _________________________ (please use an enclosure if there is more than one market maker) Part D: Participating Dealer (PD) of Foreign ETF in Thailand 18) Name of Participating Dealer
2022) and considered that related applicable rules for proper and consistent practices of DA operators should be put in place. A public hearing on the proposed draft regulation was held during 4 July-3
business activities without proper license. The SEC notified the event organizer to suspend the activities of these exhibitors. However, due to a lack of timely cooperation, the SEC teamed up with relevant
digital assets which are technology-based investment products. It is important to raise awareness and build investment skills for them because the faster they begin their savings and invest in proper