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

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

create conflict of interest to the fund as the following: (1) Proprietary trading as specified in Part 1; (2) Affiliated Transaction as specified in Part 2; (3) Soft commission as specified in Part 3; (4

that may create conflict of interest to the fund as the following: (1) Proprietary trading as specified in Part 1; (2) Affiliated Transaction as specified in Part 2; (3) Soft commission as specified in

) Proprietary trading as specified in Part 1; (2) Affiliated Transaction as specified in Part 2; (3) Soft commission as specified in Part 3; (4) Staff dealing as specified in Part 4; Management company shall have

) entering 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

) entering 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

) entering 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