, care, prudence and in the best interest of investors. (3) disclose or provide important and relevant information sufficient for investors’ decision making; (4) keep investors’ confidentiality; (5
derivatives broker shall exercise its prudence by reviewing the financial status, sources of income, and assets to be placed as collateral or for repayment in derivatives trading. Clause 23. Prior to opening an
to place collateral and the client’s repayment ability under Paragraph 1, the derivatives broker shall exercise its prudence by reviewing the financial status, sources of income, and assets to be
. With an overall improvement in the Operation of the business of the Company and Financial prudence, Net Loss for the quarter reduced to THB 72 Million against THB 451 Million last year quarter mainly due
appointed by the management company as the fund supervisor that such transaction is a trade agreement which a person of ordinary prudence would enter into in the same circumstances, and that the bargaining
represent; d) generally be neutral and report activity in a fair and unbiased way except where there is uncertainty. Prudence should prevail such that assets and income are not overstated and liabilities and
caution (fiduciary duties) and shall not make credit rating information selection which may cause assets of clients to be in a condition of low liquidity and high risk (cherry picking); (2) shall use the
comply with the following rules: (1) shall make consideration of credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information