honor and just and equitable principles of trade based on honesty, fairness, diligence, capabilities, etc; - Has no disciplinary history for the past ten (10) years; - Has not been dismissed or requested
integrity and honesty; (2) Perform duties by using knowledge and expertise as professional and treat all investors with fairness, care, prudence and in the best interest of investors. (3) Disclose or provide
of market integrity and investor protection by raising professional work standards and capabilities of both entities and individuals involved with various functions of our capital market such as
as follows: (a) having the professional ethics of financial advisor, honesty, and integrity, being committed to going-concern operations, having understanding and being accountable to the public; (b
) rating mutual fund and publishing the information on mutual fund rating with honesty, fairness, impartial, independence as well as due care for the sake of information recipients; (3) indicating the
_____________________________________________________________________ Remark : The investment management of mutual funds and private funds shall be carried out by fund managers with qualifications and appropriate characteristics i.e. having knowledge, ability, honesty
_____________________________________________________________________ Remark: The investment management of mutual funds and private funds shall be carried out by fund managers with qualifications and appropriate characteristics i.e. having knowledge, ability, honesty
_____________________________________________________________________ Remark: The investment management of mutual funds and private funds shall be carried out by fund managers with qualifications and appropriate characteristics i.e. having knowledge, ability, honesty
______________ SECTION 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the management of the private fund, using knowledge
to Seek Compensation ■ Amendment to the Regulations Relating to Rights of Shareholders in Public Offering of Securities G OA L 3 Promote Integrity of the Market, Intermediaries, and All Other Related