, 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
where private fund management company is not any person as provided in (1) “Registered company” means any company holds registered or authorized securities for trading in the securities exchange
management in the case where private fund management company is not any person as provided in (1) “Registered company” means any company holds registered or authorized securities for trading in the securities
any person as provided in (1) “Registered company” means any company holds registered or authorized securities for trading in the securities exchange; “Management company” means any mutual fund
the Securities and Exchange Act B.E. 2535 (1992); (7) a company issuing listed securities; (8) a company whose securities are traded in securities trading center; (9) a trust under the law governing
client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at
; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as... https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act