, 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

Derivative Warrants | TUF01C1404A | DERIVATIVE CALL WARRANTS ON THAI UNION FROZEN PRODUCTS PUBLIC COMPANY LIMITED ISSUED BY BUALUANG SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN APRIL 2014 # A

Derivative Warrants | TUF01P1404A | DERIVATIVE PUT WARRANTS ON THAI UNION FROZEN PRODUCTS PUBLIC COMPANY LIMITED ISSUED BY BUALUANG SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN APRIL 2014 # A

Derivative Warrants | TUF11C1406A | DERIVATIVE CALL WARRANTS ON THAI UNION FROZEN PRODUCTS PUBLIC COMPANY LIMITED ISSUED BY KASIKORN SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN JUNE 2014 # A

Derivative Warrants | TUF11C1601A | DERIVATIVE CALL WARRANTS ON THAI UNION FROZEN PRODUCTS PUBLIC COMPANY LIMITED ISSUED BY KASIKORN SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN JANUARY 2016 # A

Derivative Warrants | TUF01C1507A | DERIVATIVE CALL WARRANTS ON THAI UNION FROZEN PRODUCTS PUBLIC COMPANY LIMITED ISSUED BY BUALUANG SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN JULY 2015 # A

Derivative Warrants | TUF01P1507A | DERIVATIVE PUT WARRANTS ON THAI UNION FROZEN PRODUCTS PUBLIC COMPANY LIMITED ISSUED BY BUALUANG SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN JULY 2015 # A

Derivative Warrants | TUF27C1510A | DERIVATIVE CALL WARRANTS ON THAI UNION FROZEN PRODUCTS PUBLIC COMPANY LIMITED ISSUED BY RHB OSK SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST TRADING IN