the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts of interest and accessing inside
of interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for
interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and
company did not use such information for the benefit of supervision to prevent misuse of inside information or commission of inappropriate and illegal actions by its employees. The aforesaid defects of AEC
. Even though the relationship between clients and employees was found out, the company did not use such information for the benefit of supervision to prevent misuse of inside information or commission of
The Civil Sanction Committee decided to impose a civil sanction on Mr. Suphanan Rittiphairoj, IFEC director and executive at the time of the offense, in the case where he had used inside
, said: ?During the past 10 months, the SEC has successfully imposed civil sanctions on 21 offenders, either natural or juristic persons, in the total of eight cases. The offenses involved misuse of inside
companies to become more flexible, and the revision of preventive measures against leaks of inside information of investment management companies to become more suitable for the current fund management
management companies to become more flexible, and the revision of preventive measures against leaks of inside information of investment management companies to become more appropriate to the