best interests of clients; (2) the derivatives broker shall give equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from
neither account owner nor account owner's appointee; failing to keep confidential client's information; and failing to keep records of investment advice and clients' trade order instructions; in violation
equity or debt instruments. Most of those making comments also agreed on a requirement to mobilize fund via ICO portals approved by the SEC. ICOs can be placed to institutional investors, private equity
holders. Disclosure of source code, information disclosure forms, drafted prospectus and financial statements are also required to conform with SEC regulations. Each ICO can be placed to ultra-high net
inside information related to trading orders of securities of fund which was managed by himself and disclosed such information to Miss Monsicha, in which, Miss Monsicha placed trading orders of securities
Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a
the SEC Office for updating the information at all times. 3 . We acknowledge and agree that we have the duty to oversee and keep confidential the Username and the Password of Company Account which we
duty to oversee and keep confidential the Username and the Password of the SEC Account which we have received from the SEC Office without disclosing and allowing them to be used by any unauthorized
We acknowledge and agree that we have the duty to oversee and keep confidential the Username and the Password of the SEC Account which we have received from the SEC Office without disclosing and