and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business
Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business with honesty, fairness and
duties with honesty by disguising that trading decisions were made by client; and seeking benefits during performance of duties. Following the complaint lodged by client of KT ZIMICO Securities Company
customers with integrity, honesty, quality, fairness and equality. In a case that a digital asset business operator will outsource other parties, the business operator is required to follow the notification
as a listed-company director with responsibility, prudence, honesty and integrity. As a result, the Civil Penalty Consideration Committee ordered Mr. A to pay a civil fine and compensate the SEC for
operators. The revised regulations require the said licensees appoint independent directors to perform their duties with honesty and trustworthiness for customer interest and thus aim to ensure efficient
instrument or transaction is allowed without ratio limit, and obligations by way of borrowing or repurchasing (repo) agreement is permitted at the limit of 50 percent of the NAV.A hearing on the principles of
Exchange of Thailand, at an amount not less than 65 percent of the net asset value and the subscription limit is 200,000 baht based on the actual subscription amount. This special SSF limit is separate
management to asset management licensee will be permissible, subject to the specified rules. In addition, REIT holding limit will be relaxed where a REIT trustee will be able to hold up to 50 percent of the
exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights