held in his securities account and private funds of 6 people to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board when his aggregated holding of TIGER
”) shares held in her and other 4 people’s securities account to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board when her aggregated holding of TCC
voting rights of JAS which caused his aggregated holdings of JAS shares to exceed 50 percent. The amount of his holdings of JAS was a significant degree of control of JTS. However, Mr. Pete failed to
Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective
prepare and submit a monthly report of aggregated data and update the system each time the reporting forms are revised. The proposed amendment involves submitting granular data with specified details and
. _______________________Remark: * Key means a cryptographic key or any other data that must be kept confidential in order to be used for approval of transfers or transactions related to digital assets in digital wallets.
includes units of property fund and instruments with commodities as underlying, providing further that the aggregated investment in the said assets shall not exceed 15 percent of the fund?s NAV; (5
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
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