, 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
deemed as securities under this Notification. Upon completing inspection on units of foreign ETF under the first paragraph, the SEC Office shall, for investor’s inspection, make public a list of units of
(-Translation-) Ref. No. VGIGM.CSC.SET.18.13 May 17, 2018 Subject Dividend Payment, Investment in the shares of Kerry Express (Thailand) Limited, Issuance and Offering of the Newly Issued Ordinary Shares of the Company via a Private Placement, Partial Sale of VGI Global Media (Malaysia) Sdn. Bhd.’s shares, Issuance and Allocation of Warrants to Purchase Newly Issued Ordinary Shares of VGI Global Media Public Company Limited No. 2 (VGI-W2), Capital Increase through a General Mandate and Calling t...
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