regulations, however, do not apply to licensed venture capital, securities inter-dealer broker and securities investment advisors. For all of the licensees subject to the regulations, they must appoint the
directly to retained earnings when the asset is retired. The SEC thus instructed ABC to rectify such financial statements, and submit to the SEC and publicly disclose the reviewed financial statements by
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
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
in charge of Accounting and Finance of ICHI, knew the inside information related to ICHI's financial statement year 2016, which would show a decline in the net earnings resulting from net operating
Socatiyanurak, SEC Secretary-General said that ?The SEC ordered RICHY to amend information in the registration statement by making comparison of the price-earnings (P/E) ratios of the company with the industry
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