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
Thailand Securities Depository, custodian, securities broker, securities dealer or any person holds bonds on behalf of other persons, the number of investors under Paragraph 1 shall be counted based on the
นหนวยลงทุน (Limited Broker Dealer Underwriter – LBDU) สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th) อาคารจีพีเอฟ วิทยุ ช้ัน 10, 13-16 93/1 ถนนวิทยุ แขวงลุมพินี เขตปทุมวัน
securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ client ” means a person who uses
Commission Notification of the Securities and Exchange Commission No. KorThor. 45/2547 Re: Determination of Undertaking which is not Deemed to be A Derivatives Dealer By virtue of Section 3 and Section 9 of
follows: Certified Companies of Thailand's Private Sector Collective Action Coalition Against Corruption LH Financial Group Public Company Limited, Land and Houses Bank Public Company Limited and Land and
: Certified Companies of Thailand's Private Sector Collective Action Coalition Against Corruption LH Financial Group Public Company Limited, Land and Houses Bank Public Company Limited and Land and Houses Fund
on Private Fund Management dated 31 July 2000; (4) Notification of the Office of the Securities and Exchange Commission No. SorNor. 49/2543 Re: Rules on Protection of Conflict of Interest on Investment