The SEC Secretary-General together with the Management Team convened a joint meeting yesterday with the Investment Banking Club led by President Mr. Somphop Keerasuntonpong to discuss cooperation in the development and enhancement of fundraising regulations, emphasizing the mutual assistance in screening companies offering securities for sale to the public and applying for listing on the stock exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of fi...
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
practicality and fairness.The proposed revision would allow asset management companies a grace period for increasing the number of the unitholders of listed funds, including exchange traded funds and index funds
high net worth individual only. To widen investors? investment choices of increasing return or creating variety and complexity of investment strategy, the AI funds will be allowed to invest in
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
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