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
Company divided by the total number of ordinary shares of the Company which are traded in the SET during 7 consecutive business days (the day on which the stock market is opened for the stock trading) prior
Company which are traded in the SET during 7 consecutive business days (the day on which the stock market is opened for the stock trading) prior to the first day of the offering of the newly-issued shares
are traded in the SET during 7 consecutive business days (the day on which the stock market is opened for the stock trading) prior to the first day of the offering of the newly-issued shares to specific
) Clause 32(1), which relates to dissemination of educational documents regarding any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and
) Clause 32(1), which relates to dissemination of educational documents regarding any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and
of the Capital Market Supervisory Board regarding Application and Approval of Offer for Sale of Newly Issued Shares. - 12 - their securities trading especially during the month before public disclosure
and procedures (if any) for preventing directors and executives from using inside information for personal gain, and for monitoring their securities trading especially during the month before public
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries