Others Licensing / Registered Capital / Fees Business Conduct Protection of Customer Assets (Section 98(3)) Reporting of Securities Allocation (Section 81) Net Liquid Capital Rule (Section 97) Executives
in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair
Commission No. SorThor. 19/2554 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker under Quota Allocation By virtue of Section 14 and Section 19 of the Derivatives
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allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities
subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the