PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED| | Offering Date : 16/06/2009 - 26/06/2009
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED| | Offering Date : 25/06/2009 - 02/07/2009
ONE ASSET MANAGEMENT LIMITED| | Offering Date : 22/07/2014 - 31/07/2014
, 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
- 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
records of such activities in the form of recorded tape or electronic data storage. Clause 20 In trading securities with a retail client , a securities company shall prepare evidentiary documentation to