Notification on Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries, dated 9 February 2026.
quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of Mr. Warot’s authorized access to the draft financial statements in the EY information system and the
) Enhancing clarity in the management of conflicts of interest (COI) by establishing clearer guidelines on transactions between funds or between clients under the same management (cross trade), in line with
notification of the SEC Office. A contract or an agreement in the first paragraph shall not have any statement denying the derivatives broker’s responsibility to clients from any act or omission of any act
contract or an agreement in the first paragraph shall not have any statement denying the derivatives broker’s responsibility to clients from any act or omission of any act, willfully or negligently, of the
TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied) 06/09/2013 01
, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied) 06/09/2013 01/04/2014 Notification of Capital Market Supervisory
Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied) 06/09/2013 01/04/2014 Notification of Capital Market Supervisory Board
Clients of Securities Companies and Derivatives Intermediaries (Codefied) 06/09/2013 01/04/2014 Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management