Clause 2, the derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation
derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation, operational
hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s
: (1) in case of selling units of foreign collective investment scheme to institutional and high net worth investor, the CIS operator shall deliver information similar to the one delivered to investors
อนุญาต (trader ID) หมายเลขโทรศัพท์ที่ เจ้าหน้าที่การตลาดใช้ใน การติดต่อลูกค้า รายชื่อลูกค้าในความรับผิดชอบ ขอรับรองว่าข้อมูลข้างต้นถูกต้องและครบถ้วนตรงต่อความเป็นจริง
, investors should exercise their own judgment when considering detailed information relating to the issuing company of the securities and the conditions of securities, including the suitability for investment
decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called
detailed information relating to the issuing company of the securities and the conditions of securities, including the suitability for investment and the relevant risk exposure. The effectiveness of this