procure adequate financial resources for covering potential risks arising from the operation of the derivatives clearing house, including credit risk and liquidity risk. The financial resources shall be
that there is or was [I] a demeanor of [i] disclosing or distributing information or document which is false and may be misleading or [ii] concealing material facts which should be informed clearly and
Investment Trust. Additionally, it shall contain the duties of a REIT manager to maintain the principal asset in good condition and ready to take advantage of income and to procure sufficient insurance
characteristic in Group 3 under Clause 31. 1 Dishonesty defined as the dishonesty as prescribed in Section 1 of the Criminal Code B.E. 2499 (1956) which means doing any act in order to procure, for himself or the
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
clients An intermediary shall pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients
due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients’ relationships of trust An intermediary
contain the followings: (1) information that is false, exaggerating or misleading; (2) information and estimated return, unless otherwise approved by the Office pursuant to Chapter 2; (3) information that
appropriate and fair, following the Office’s guideline which will be notified in advance. Clause 11. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading
funds. "Such aforesaid research results have raised possible issues of unclear information disclosure, misleading advertising messages and fee collection. The SEC therefore reinforces such matters on