the Office 4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office

4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office; (b) In

the stored things in respect of client ’s private data, and unrevealed or non-public information; (3) appointing a responsible person who has duty to undertake and be liable for arranging and keeping

the inside information of NOBLE to Kongpat while knowing or possessing such inside information was deemed a violation of Section 242(2) in conjunction with Section 243(1), and liable to the penalties

position as executive in charge of finance and management of STEC, knew or possessed the company’s inside information related to the provision for loss of construction projects, which could lead to

held shares and the percentage of the total shares. In this regard, the shareholding of the associated persons and that of the shareholders under the same controlling person is considered the

/5447/1#5447 act-sea2016-no5.pdf , legal advisor, asset appraiser or any other person whose duties are related to inside information, including employees, workers or colleagues of the aforesaid persons

and registered with the Office, whose main objective is to promote and develop securities businesses in the category of investment management; “Customer” means any person who authorizes a management

been approved by and registered with the Office, whose main objective is to promote and develop securities businesses in the category of investment management; “Customer” means any person who authorizes

; “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund management; “Fund manager” means any natural person who is authorized