Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective
SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more
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
best interests of clients; (2) the derivatives broker shall give equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from
, as well as adequate measures to keep information of members and their clients confidential. Clause 18 To protect public interest and investors’ rights, a derivatives exchange shall disclose information
. _______________________Remark: * Key means a cryptographic key or any other data that must be kept confidential in order to be used for approval of transfers or transactions related to digital assets in digital wallets.
regard, SEC has reviewed regulations on the operation of investment management business as prescribed in two notifications by applying the guidelines of the Regulatory Guillotine scheme to ensure
performance of their duties, as well as adequate measures to keep information of members and their clients confidential. Derivatives clearing houses shall disclose their regulations on good governance to the
application for change of information in Company Account to 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