surveillance through information sharing to keep pace with cybersecurity threats. In addition, all service users and investors should be aware of the use of technology and the threats that may come with it, by
companies to strengthen their Chinese wall measures to keep confidential their internal fund operation information, such as the funds? proprietary trading decisions and pending orders, etc., to prevent the
Bangkok, December 4, 2012 ? The SEC organised training programs for both the SEC staff and capital market personnel to keep pace with new securities and derivatives trading methods and prepare them
service sectors in the capital market. The SEC has closely monitored the situation and consistently cooperated with related parties to keep informed of the impact level, consider relaxation of rules to help
(2003) . Clause 3 Maintenance of the net capital by a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any
a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any business day in the amount not less than fifteen
that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the