for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures
. Operators of derivatives business wishing to apply for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business
หลักทรัพย์ที่เป็นหน่วยลงทุน (Limited Broker Dealer Underwriter - LBDU) ท่ีเป็นสมาชิกตลาดหลักทรัพย์แห่งประเทศไทย ส านักงานคณะกรรมการก ากับหลักทรัพย์และตลาดหลักทรัพย์ (http://www.sec.or.th) อาคารจีพีเอฟ
LUMPHINI, PATHUM WAN, Bangkok 10330 Tel.0-2015-5999 Fax.0-2263-0760, 0-2263-0744 List of company licensed Inter-Dealer Broker (Securities Company) Company Head office 1 AFS SECURITIES (THAILAND) CO.,LTD
? futures trading orders through an account linked to him at another broker for his personal gain. This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of
scope of digital asset business currently covers only digital asset exchange, digital asset broker and digital asset dealer. Therefore, the SEC Board views it appropriate to add digital asset advisory
performance of introducing broker agents, and (3) establishment of compliance unit of digital asset business operators to be in line with the regulations governing securities business operators and
หลักทรัพย์ที่เป็นหน่วยลงทุน (Limited Broker Dealer and Underwriter: LBDU) และ ก.ล.ต. ตรวจสอบเพิ่มเติมพบว่า นายพงษ์ศักดิ์ได้ลงนามในใบคำสั่งซื้อ ขาย สับเปลี่ยนหน่วยลงทุนในฐานะผู้แนะนำการลงทุน ทั้งที่ไม่
Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak
for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures