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
dated 2 April 2026 “SEC files criminal complaint against Exmix together with the executive for operating digital asset dealer business without a license, and issues an investor alert on platform
). “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
In her opening remarks at the online seminar on 25 November 2020, Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “The aims of the online seminar are (1) to help listed companies gain a
technologies for their business strategies and adopt corporate governance as a part of their corporate culture in parallel with caring shareholders and related parties, which could help enhance corporate value
MB. As the company has complied with efficiency management plan that help company reduce costs of sales and selling expenses. Please be informed. Yours Sincerely, Mr. Panya Boonyapiwat Chairman
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