actions that indicate a lack of professional ethics or standard of conduct in performing the duties of financial advisor. (5) Directors, managers, the executives of the investment banking unit adhering to
actions that indicate a lack of professional ethics or standard of conduct in performing the duties of financial advisor. (5) Directors, managers, the executives of the investment banking unit adhering to
focus on strengthening its own governance, enhancing organizational efficiency and effectiveness, and adhering to the Sufficiency Philosophy principles, namely, reasonableness, moderation, and self
. Clause 9. In managing a mutual fund, the mutual fund manager shall: (1) Comply with the laws, rules and regulations relating to mutual fund management; (2) Perform duties by adhering to the professional
fund, the mutual fund manager shall: (1) Comply with the laws, rules and regulations relating to mutual fund management; (2) Perform duties by adhering to the professional ethics and standards as
fund, the mutual fund manager shall: (1) Comply with the laws, rules and regulations relating to mutual fund management; (2) Perform duties by adhering to the professional ethics and standards as
, such person shall: (1) comply with laws and notifications relating to fund management, mutatis mutandis , only in the part of investment management; (2) perform duties by adhering to ethics and
, such person shall: (1) comply with laws and notifications relating to fund management, mutatis mutandis, only in the part of investment management; (2) perform duties by adhering to ethics and
adhering to ethics and professional standards as stipulated by the association and as approved by the Office, mutatis mutandis, only in the part of investment management. Clause 11. In the event that any
management company, mutatis mutandis , only the part of investment management; (2) perform duties by adhering to ethics and professional standards issued by the association and approved by the Office, mutatis