, 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
management company should record the details of the delivery of payment documents to the fund committee on the day such document has been delivered. The record should at least comprise of the name and code of
-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
- November 24, 2008 through other persons' trading accounts, resulting in the purchase or sale of such share inconsistent with normal market condition, to mislead and lure the public into the trading. The
) during October 1 - 31, 2007, and S.E.C Auto Sales and Services PLC (SECC) during September 12 - November 24, 2008 in concealment and on a continual basis through other persons' trading accounts
, 2008 through other persons' trading accounts, resulting in the purchase or sale of such share inconsistent with normal market condition, to mislead and lure the public into the trading. The public
กำหนดอื่น ๆ แบบสำรวจความคิดเห็น Verify Code Reload * re-Verify Code
additional particulars: (1) The trading code of the investment units on the Stock Exchange of Thailand; (2) The top ten securities invested by the mutual fund; (3) The amount of investment units traded on the