Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak

performance of introducing broker agents, and (3) establishment of compliance unit of digital asset business operators to be in line with the regulations governing securities business operators and

หลักทรัพย์ที่เป็นหน่วยลงทุน (Limited Broker Dealer and Underwriter: LBDU) และ ก.ล.ต. ตรวจสอบเพิ่มเติมพบว่า นายพงษ์ศักดิ์ได้ลงนามในใบคำสั่งซื้อ ขาย สับเปลี่ยนหน่วยลงทุนในฐานะผู้แนะนำการลงทุน ทั้งที่ไม่

scope of digital asset business currently covers only digital asset exchange, digital asset broker and digital asset dealer. Therefore, the SEC Board views it appropriate to add digital asset advisory

personnel. The SEC also proposed to emphasize significance of ?compliance officer? by requiring LBDU licensee and derivatives broker appoint at least a compliance officer with specified qualifications.The

ลงทุนในต่างประเทศมากขึ้น  ซึ่ง ธปท. ได้พิจารณาอนุญาตแล้วก.ล.ต. จึงจะออกหลักเกณฑ์กำหนดให้ตัวแทนซื้อขายสัญญาซื้อขายล่วงหน้า (derivatives broker) ต้องมีระบบงานรองรับการให้บริการแก่ผู้ลงทุนรายย่อยที่ลงทุนใน

? futures trading orders through an account linked to him at another broker for his personal gain.  This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of

Mr. Tanawat Sutuntivorakoon Mr. Tanawat Sutuntivorakoon, a Chief Executive Officer of a digital asset broker called Bitazza Company Limited (''Bitazza'') at the time of the

to support the Company’s core business operation with general trade terms and conditions. Connected persons/ juristic persons Characteristic of connected transaction Transaction amount (Thousand Baht

Companies Concerning the Connected Transactions, 2003, dated 19 November 2003 (as amended), the company will comply with the rules. 1.3 General Characteristic and Size of the Transaction 1.3.1 Characteristic