monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
Bangkok, February 9, 2012 - The SEC has closely monitored the incident on December 30, 2011 where net asset value ("NAV") of domestic mutual funds investing in offshore ETF was irregularly high. The
application for change of information in Company Account to 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
companies to strengthen their Chinese wall measures to keep confidential their internal fund operation information, such as the funds? proprietary trading decisions and pending orders, etc., to prevent the
/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange
/2547 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange
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
performance of their duties, as well as adequate measures to keep information of members and their clients confidential. Derivatives clearing houses shall disclose their regulations on good governance to the
service sectors in the capital market. The SEC has closely monitored the situation and consistently cooperated with related parties to keep informed of the impact level, consider relaxation of rules to help