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
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
to securities laws prior to court filings to strengthen legal enforcement and revise provisions on composition of offences related to unfair activities in securities trading to ensure clarity and