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
+ Time value 𝑆 − 𝐾 for call option 𝑐ℎ𝑎𝑛𝑐𝑒 𝑜𝑓 𝑆 − 𝐾 𝑏𝑒𝑓𝑜𝑟𝑒 𝑒𝑥𝑝𝑖𝑟𝑦 Too complicated for or misunderstood by naive investors. Fixed at issue and then guided when trading by Brokerage
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
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
complicated than plain debt securities as it is a combination of debt securities and derivatives. An investment in the structured notes involves in a few risk factors such as underlying risk, credit risk of
capital increase, VAVA agrees not to sell the newly issued ordinary shares (Silent Period) which receives from subscription for a period of 1 year from the trading date on the SET. Upon the expiry of the 6
capital increase, VAVA agrees not to sell the newly issued ordinary shares (Silent Period) which receives from subscription for a period of 1 year from the trading date on the SET. Upon the expiry of the 6
systemic risk and prevention of any consequences that may affect securities trading system, where the works involved supervising securities companies to ensure their sound financial status as well as
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