TMB Bank Public Company Limited (TMB). According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa
(introducing broker agent) และ (3) การจัดให้มีหน่วยงานกำกับดูแลการปฏิบัติงานของผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล ให้เป็นไปในแนวทางเดียวกับผู้ประกอบธุรกิจหลักทรัพย์และผู้ประกอบธุรกิจสัญญาซื้อขายล่วงหน้า ก่อนหน้า
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
Presently, supervising “digital asset businesses” under the royal decree on digital asset businesses, B.E. 2561 cover three business groups: digital asset exchange; digital asset broker; and
the regulations on sale promotion advertisement, engagement of introducing broker agent, and disclosure of brokerage transaction activities, which will come into force starting from 1 January 2022
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
Signatory A of IOSCO MMOU concerning Consultation and Cooperation and the Exchange of Information, (3) CIS operator must appoint licensed securities broker as selling agent and (4) selling agent must comply
operator must appoint licensed securities broker as selling agent and (4) selling agent must comply with specified criteria including distribution of offering circular (fact sheet) prepared in Thai. The
Bee filed a cancellation notice to his broker, Globlex Securities Co., Ltd., in order to void the purchase transactions has no effect on the Sub-Committee?s opinion as well because the purchases of EIC