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
, 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
Days (the day on which the stock market is opened for the stock trading) prior to the date used for the calculation. “The average price per newly issued ordinary shares” shall be calculated from the
stock market is opened for the stock trading) prior to the date used for the calculation. “The average price per newly issued ordinary shares” shall be calculated from the total proceeds received by the
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Derivative Warrants | SCC19C2003B | DERIVATIVE CALL WARRANTS ON THE SIAM CEMENT PUBLIC COMPANY LIMITED ISSUED BY YUANTA SECURITIES (THAILAND) COMPANY LIMITED LAST TRADING IN MARCH 2020 # B | Stock in
Derivative Warrants | SCB19C2003A | DERIVATIVE CALL WARRANTS ON THE SIAM COMMERCIAL BANK PUBLIC COMPANY LIMITED ISSUED BY YUANTA SECURITIES (THAILAND) COMPANY LIMITED LAST TRADING IN MARCH 2020 # A
Derivative Warrants | HMPR41C2003A | DERIVATIVE CALL WARRANTS ON HOME PRODUCT CENTER PUBLIC COMPANY LIMITED ISSUED BY JPMORGAN SECURITIES (THAILAND) LIMITED LAST TRADING IN MARCH 2020 # A | Stock in
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