control to ensure compliance with the policy; (2) Policy and procedures for designing, developing and managing digital wallets as well as creating, maintaining and accessing keys or other related
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
select from. In so doing, the SEC Board would take into account the candidates’ possession of essential knowledge and experiences for managing the SET operation to ensure the SET stability, credibility and
Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company
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
” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian
juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian. “Institutional investor” means: (1) Commercial
client’s assets; □ (3.6) System to prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a
prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a system ready for keeping assets into