its client’s assets; (b) System to prevent damages to private fund assets, as well as related information and documents, and controlling system for acquisition and disposition of private fund assets; (c

13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which

from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with

company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place

financial position; (2) The management company has no sign of misconducts or no records which make it inappropriate for the company to expand its business by way of establishing a branch office or which may

company has sound financial position; (2) The management company has no sign of misconducts or no records which make it inappropriate for the company to expand its business by way of establishing a branch

meets the following criteria: (1) The management company has sound financial position; (2) The management company has no sign of misconducts or no records which make it inappropriate for the company to

& business plan • Use of ICO proceeds • Key milestones • Type / legal structure of entity running the project • Team members / advisors • Financial information / track records (if available) • Key risks

listed on the SET through backdoor listing,  those with no track records on business self-building, and those with their business growth achieved mainly through acquisition of other businesses. Besides

the criteria specified in Paragraph 1, the derivatives broker shall comply with the standards of conduct prescribed and notified by the SEC Office. Clause 15 The derivatives broker shall keep records of