the customer. (2) Treat all customers equally. (3) Keep confidential information of the customer and refrain from disclosing customer’s profile, derivatives trading information or financial information
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
disclosing personal information, information on trading of derivatives, or a client’s financial information to other persons, unless disclosure is made as a result of its obligation for disclosure; (4) the
A CRA should disclose in its credit rating announcement whether the issuer of a structured finance product has informed the CRA that it is publicly disclosing all A-11 relevant information about the
Thailand or any other channel that will allow the unitholders to thoroughly access information of executing transactions; (b) to have a reasonable period for disclosing information that shall not exceed 14
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
Exchange of Thailand (“SET”) in compliance with conditions of disclosing investment information, including information on asset acquisition transaction and related transactions as per the rules, regulations
it and disclosing the information memorandum related to it accordingly to the Stock Exchange of Thailand. The granting of loan as detailed above plus the latest loan transaction granted to JAS