e-service Online Submission See canceled document Bond Dealer and Underwriter >> Advertising (section 98(10))   Type Title Section See Document Status Notified Date Effective Date 1. Act   Securities

e-service Online Submission See canceled document Securities Dealer Business >> Revocation of License (Section 147)   Type Title Section See Document Status Notified Date Effective Date 1. Act

e-service Online Submission See canceled document Securities Dealer Business >> Decrease in Registered Capital (Section 98(1))   Type Title Section See Document Status Notified Date Effective Date 1

e-service Online Submission See canceled document Derivatives Dealer >> Accounting and Financial Statements (Section 27, 28)   Type Title Section See Document Status Notified Date Effective Date 1

e-service Online Submission See canceled document Derivatives Dealer >> Arbitration   Type Title Section See Document Status Notified Date Effective Date 1. Notification of the Office of the

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

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

จำหน่ายหลักทรัพย์ที่เป็นหน่วยลงทุน (Limited Broker Dealer and Underwriter: LBDU) และตรวจสอบเพิ่มเติมพบว่า นางสาวสุนิสา แย้มสันเทียะ ซึ่งเป็นผู้แนะนำการลงทุนด้านหลักทรัพย์ทุจริตยักยอกเงินลูกค้า โดยปลอม

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

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 had