, trading such underlying securities while underwriting them. The relaxation aims at facilitating the brokerage firms to better manage risks associated with issuance of the instruments while the firms are

conduct of derivatives brokers as follows:1. Underwriting rules will be relaxed to permit brokerage firms that issue instruments linked to other underlying securities, e.g., derivatives warrant, trading

securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised

-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in

-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front- office function) should be clearly separated from the unit which has duties in

) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Cash and cash equivalents 2. Long-term deposits at financial institutions 3. Securities purchased under reverse repurchase agreement 4. Investments

repurchase agreement 4. Investments in investment Securities 5. Investments in subsidiary and affiliated 6. Receivables from Clearing House 7. Securities business receivables and Derivatives business

reverse repurchase agreement 4. Investments in investment Securities 5. Investments in subsidiary and affiliated 6. Receivables from Clearing House 7. Securities business receivables and Derivatives

appears in a draft agreement appointing a debenture holder representative disclosed in the filing, effective on February 15, 2022 ("draft agreement"), differs from the condition in an agreement

registration statement and draft prospectus ("filing"). In this regard, one of the conditions for termination of the debenture holder representative's duties which appears in a draft agreement