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
businesses unless there is a reasonable ground for failure of such identification. (2) In case of a holding company, provide information on the shareholders of the subsidiary undertaking the core business
persons or the group of persons who are genuinely the true shareholders and their core businesses unless there is a reasonable ground for failure of such identification. (2) In case of a holding company
identified as a holding company or a nominee account, identify the persons or the group of persons who are genuinely the true shareholders and their core businesses unless there is a reasonable ground for
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory
range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5
skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
opinions on by the auditor of the mutual fund and certified by the management company, within fifteen business days as from the dissolution date of the mutual fund; Where it is necessary and reasonable, the