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
businesses that already operate a digital business before the legal enforcement or newcomers who are interested in obtaining licenses as trading centers, brokerage firms or traders https://www.sec.or.th/EN
making decisions on securities trading for the securities company [proprietary trading]. Clause 7 A securities company shall separate the work units and personnel responsible for securities trading [front
units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for making decisions on securities trading for
a reasonable and necessary ground and that such securities trading is without the intention to seek benefits in the manner of exploiting the clients, or shall be able to demonstrate that there is a
a reasonable and necessary ground and that such securities trading is without the intention to seek benefits in the manner of exploiting the clients, or shall be able to demonstrate that there is a
a reasonable and necessary ground and that such securities trading is without the intention to seek benefits in the manner of exploiting the clients, or shall be able to demonstrate that there is a
trading The Ministry of Finance had the power to regulate securities trading on the Stock Exchange of Thailand (SET) by issuing regulations or approving those drafted by the SET Board of Governors
: Prevention of Unfair Securities Trading Practices, Section 238, Section 239, Section 240, Section 241, Section 242, Section 243, and Section 244 of Chapter 8: Unfair Securities Trading Practices and the
beneficiaries of listed securities trading, both directly and indirectly; (b) the purposes of securities trading; (c) the [securities] trading information of the client; (d) the information specified under (a