, 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
platform for bond profile listing whereby investors interested in trading securities must execute transactions on the Thai Bond Market. Interested and well-prepared companies may apply for listing on
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
unlicensed digital asset business operators activities with another foreign digital asset trading platform and allowing payment for the transactions made in Thai baht through Prompt Pay and Thai QR. Such
authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's
and procedures (if any) for preventing directors and executives from using inside information for personal gain, and for monitoring their securities trading especially during the month before public
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...