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
equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from disclosing personal information, information on trading of derivatives, or a
disclosing personal information, information on trading of derivatives, or a client’s financial information to other persons, unless disclosure is made as a result of its obligation for disclosure; (4) the
information in the disclosing documents, letters of acknowledgement of obligations or letters for certifications of qualifications Persons who certify the performance of duties of the financial advisor. Report
A CRA should disclose in its credit rating announcement whether the issuer of a structured finance product has informed the CRA that it is publicly disclosing all A-11 relevant information about the
professional law firm for maximizing the Company's benefits. The cost of litigation fees in the year 2017 are in the total of Baht 12.69 million. As for other administrative expense, the Company still maintain
comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm executive or mutual fund manager or private fund manager on the renewal application date
at least half of the curriculum comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm executive or mutual fund manager or private fund