suspicious trading behaviors of a UBS employee who was responsible for executing securities trading for or on behalf of its clients, all of which are institutional clients. According to the SEC findings
information delivered to the shareholders The board of directors shall be responsible for the preparation of this information memorandum. In this regard, the board of directors has verified the information set
where the home regulator is established; (4) a letter appointing a brokerage firm to perform duty as a representative responsible for the trading of units of ASEAN Collective Investment Scheme in Thailand
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
establishing the branch office, as the case may be, or otherwise having discharged executive or personnel who has to be responsible for the cause that made the intermediary has been determined to have prohibited
office or before the date of submitting requisition for establishing the branch office, as the case may be, or otherwise having discharged executive or personnel who has to be responsible for the cause
person responsible for managing information security incidents; (3) report any information security events to the responsible person under (2) and the SEC Office without delay; (4) carry out testing of