, 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
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
such insider information to be used by any person. Clause 14 A securities company shall confirm a securities trading transaction with its counterparty in writing within an appropriate time after making
the securities company [proprietary trading]. 3 Added by the Notification of the Capital Market Supervisory Board No. Tor Thor. 8/2556 Re: Rules, Conditions, and Procedures for Dealing of Debt
undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4
and medium of exchange and the undertaking of digital asset businesses, including exchange, brokerage and dealing. The legislation also aims to protect investors from risks of fraud and deception by
asset businesses, including exchange, brokerage and dealing. The legislation also aims to protect investors from risks of fraud and deception by dishonest persons, money laundering and exploitation of
into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a contract