Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund
• the duty of care, • duty of loyalty, • duty of good faith, • duty of confidentiality, • duty of prudence, • and duty of disclosure. • If a person violates their fiduciary duty, they are personally
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of investors’ interest as well
management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of investors’ interest
Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
Utilities Plant increased after the main customers resumed normal operation from the scheduled maintenance in Q2/2017 even though Sriracha Power Plant had lower dispatch volume to Electricity Generating
submitted the inaccurate report on maintenance of capital for the period of July to December of 2021 and for the period of January to June of 2022 through the SEC Office. Later, the rectified report on