information between work units and personnel of the securities company . In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work
personnel of the securities company. In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work units and personnel who have an
. In this regard, if the intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and
have already complied with the Notification No. TorThor. 35/2556, in part of operation systems for supporting business continuity, and the Notification No. SorThor/Nor. 45/2559. In this regard, if the
. In this regard, all information requested from clients must be up-to-date at the time the KYC/CDD process is undertaken. Furthermore, where the customer is a natural person, the securities company
, nature of business, place of incorporation, place of operating business, financial status, objective of transaction, as well as all documents concerning identification data. In this regard, all information
documents concerning identification data. In this regard, all information requested from clients must be up-to-date at the time the KYC/CDD process is undertaken. Furthermore, where the customer is a natural
. In this regard, the securities company shall set out rules on seeking and granting of approval in writing. Clause 15 In cases where a securities company finds that an investor contact may violate or
company shall require that any investor contact who wishes to give advice or conduct analysis of securities investment through media seek a prior approval from the securities company. In this regard, the