, 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
/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market
the following requirements: (a) accept trading orders of capital market products only at the intermediary’s temporary office; (b) require clients to send trading orders by themselves through an
requirements: (a) accept trading orders of capital market products only at the intermediary’s temporary office; (b) require clients to send trading orders by themselves through an electronic system arranged by
exchange , the intermediary shall comply with the following requirements: (a) accept trading orders of capital market products only at the intermediary ’s temporary office; (b) require clients to send
only at the intermediary’s temporary office; (b) require clients to send trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of
relating to financial business by an authority in charge. In addition, the management company shall not have records on offences relating to unfair securities trading or mismanagement in the manner of