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

In mid-2021, the DSI requested that the SEC further investigate the facts and evidence in a case where the SEC had filed a criminal complaint,* due to suspicious circumstances suggesting that IEC

allowed Wichai to use the document in committing the said acts. The SEC therefore requested the DSI to investigate whether the act of such company secretary would be considered aiding or abetting Wichai?s

the documents in committing the said acts. The SEC therefore requested the DSI to investigate whether the act of such company secretary would be considered aiding or abetting {A}'s fraudulent act.In

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

disposition of assets of each private fund; (e) System for monitoring and tracking benefits arisen from private fund asset; (f) System to prevent conflict of interest and protect confidential information of

and protect confidential information of private fund; (g) Other systems showing the readiness to undertaking business as specified by the Notification of the Office. (4) Demonstrate that its personnel