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
Conduct of Business in case of providing service for acceptance of trading orders of capital market products outside the intermediary’s offices, an intermediary shall comply with the regulations prescribed
in case of providing service for acceptance of trading orders of capital market products 13 outside the intermediary’s offices, an intermediary shall comply with the regulations prescribed in this
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
qualifications, functions and areas of experience or responsibility in the issuer. 2. Principal business activities performed outside the issuer (including, in the case of directors, other principal directorships
:..........................................(“…Trading Symbol…”) Industry:………….................... Number of Offering Shares:............………………….amounting to ……….% of the Company’s total issued and paid-up shares after the completion of this offering
SET member brokers from trading listed securities outside the exchange. Moreover, in case of trading listed securities in any trading venues other than SET in the future, trading parties shall have a
/Documents/AnnualReport/pb_ar_2001.pdf Translation of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside