, 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
, commercial bank has provided off-exchange derivatives trading service to clients with necessity to manage risk and some are not institutional investor. When the SEC prescribed additional goods and variables
https://publish.sec.or.th/nrs/8841pe.doc 5883pe.doc this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual
://publish.sec.or.th/nrs/8841pe.doc 5883pe.doc this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual funds; (3
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any acts to engage into assets trading or enter to be counterparty before the fund. Clause 6. Management company shall manage their own business in the matters which concern with any acts that may
company perform any acts to engage into assets trading or enter to be counterparty before the fund. Clause 6. Management company shall manage their own business in the matters which concern with any acts