undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
the derivatives broker including spouse, cohabiting couple and minor children thereof, and any person who has facts or circumstances that allow the SEC to consider that he/she is the undisclosed
)/company. 4 Incorrect or incomplete disclosure of financial statements or annual report of listed company. ● Undisclosed items / incorrect disclosure of information ● Other related documents/evidence
had to pay redundant expenses without the knowledge of the undisclosed information of such conflicts of interest, both before and after investing in such foreign funds; (3) failing to
accounts in undisclosed manner (omnibus account); (2) Derivatives position limit of customer at any time; (Translation) Page 3 of 3 (3) Derivatives position of customer that is still open (open interest); (4
: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of accounts in undisclosed manner (omnibus
อ้มูลภำยในของลูกคำ้ดว้ย 2) สำมำรถใช ้Robot ในกำรใหบ้ริกำรแนะน ำ / วำงแผน กำรลงทุนไดห้รือไม่ ถำ้ไดมี้กำรควบคุมอยำ่งไร สำมำรถใช ้Robot ในกำรใหบ้ริกำรแนะน ำได ้ ทั้งน้ี ตอ้งเป็นไปตำม หลกัเกณฑท่ี์เก่ียวขอ้ง
robot trading are related terms that are often used interchangeably. • High frequency trading (HFT): a subset of algorithmic trading where orders are submitted by low-latency and sophisticated technology
placing orders for several persons or through series of accounts in an undisclosed manner (omnibus account); (2) derivatives position limit of customer at any time; (3) derivatives position of customer that