investment as specified in the notification of the SEC.” (As amended by Section 3 of the Securities and Exchange Act (No.2) B.E. 2542) "listed securities" means registered or authorized securities for trading
as specified in the notification of the SEC.” (As amended by Section 3 of the Securities and Exchange Act (No.2) B.E. 2542) "listed securities" means registered or authorized securities for trading in
, 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
Trading (section 98(7)) Other Business Undertaken by Securities Companies (section 98(8)) Advertising (section 98(10)) Acting as Securities Company Agents (section 100) Loans to Customers (section 102