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

orders in large volumes. The practice may aim to mislead other investors by creating a false impression of escalating bid or offer demands at a given time, or it may be an obstruction to the buying or

or offer demands at a given time, or it may be an obstruction to the buying or selling activities of other investors, consequently compelling them to send trading orders at prices higher or lower than

person under consideration; the penalty he/she has already served; the impacts, loss or benefit incurred; any steps taken to rectify past conduct; the cooperation or obstruction with SEC’s investigation

past conduct; the cooperation or obstruction with SEC’s investigation; and any previous record or past behavior which indicating that the subject person is not fit and proper to work in capital market

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

ตรวจสอบด้านเทคโนโลยีสารสนเทศและ แผนการปรับปรุงแก้ไขข้อบกพร่อง ("แบบรายงานผล IT audit") Version: 1/2566 Confidential ภายใต้ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สธ. 38/2565 และ นป