companies that operate business in the categories of securities brokerage, dealing, investment advisory and underwriting, as well as mutual fund management, private fund management, venture capital
various categories consisting of: (1) equity brokerage, (2) equity dealing, (3) equity underwriting, (4) investment advisory service, and (5) securities borrowing and lending.
Limited Brokerage Dealing Underwriting (LBDU) to provide the said services in a bid to facilitate access to investment in foreign products for the investors. In this regard, offering of ASEAN CIS will be
exchange rates as underlying products, representing itself as a branch office of a brokerage in Hong Kong, causing damage to investors who were induced to transfer their money to the company?s account.Such
probation) ? allowing an investor contact to use his client?s account for securities trading of another client who had reached the full credit line and breaching his brokerage company?s rules of employees
give a warning. Consequently, the SEC agreed with the committee resolution and issued warning letters to both the securities analyst and the brokerage house. The SCIB-C1 case concerns Ms. Pongrat
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
percent compared to the first quarter of the previous year. The significant revenues are as follows: 1.1 Brokerage fees The Company’s brokerage fees in first quarter of 2019 were Baht 166 million, a