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
to Capital Market Personnel. Chapter 4/1( Procedure of Securities Trading Clause 24/2 In cases where an intermediary provides services of securities brokerage, the intermediary shall comply with the
Personnel. Chapter 4/1 Procedure of Securities Trading Clause 24/2 In cases where an intermediary provides services of securities brokerage, the intermediary shall comply with the following regulations: (1
internationally Liberalization of cross-border capital movements and emergence of various forms of exchange business/alternative trading system have inevitably affected competitiveness of Thailand’s only stock
Notification of the Securities and Exchange Commission No. GorJor. 16/2561 Re : Criteria, Provisions, Procedure for Approval of an ICO Portal Service Provider dated July 3, 2018 ( Effective as of July 16, 2018
the operational procedure under (1); (3) in the case where a proprietary trading occurs during any of the following periods, the intermediary shall be able to demonstrate evidence proving that there is
systems that may cause damage to investment, fund management inconsistent with prospectus, and incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants