the customer. (2) Treat all customers equally. (3) Keep confidential information of the customer and refrain from disclosing customer’s profile, derivatives trading information or financial information
clearing and settlement related to or because of a client’s derivatives trading. The benefits, the controlling power or the financial support under Paragraph 1 may arise from an agreement, an understanding
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
) Basic investment knowledge;(2) Understanding investment products;(3) Understanding digital assets and related risks;(4) Investment diversification and monitoring;(5) Understanding
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
SEC held the second meeting with the “SME Startup PE VC” working group, set up to promote access to the Thai capital market by small- and medium-sized enterprises, startups, private equity firms
grade, as well as some that remain unrated, on which SEC regulates strictly to protect the investors.Furthermore, the SEC has been closely following the issuing and sale of private bonds. Since June
SEC Secretary-General Rapee Sucharitakul said, “previously the comprehensive provision of counselling and advisory service on investment would be limited to private wealth only while the general
/2019 5. Notification of the Office of the Securities and Exchange Commission KhorSor. 2/2550 Notify of Circular Applicable to Private Sectors 12/06/2007 12/06/2007 6. Circular SEC.Khor