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
Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated: September 2019 2 Contents 1. Introduction 3 2. Definition 4 3. Guidance on ACMF Pass Framework 3.1 ACMF Pass overview 5 3.2 Permitted activities 6 3.3 Application process 9 3.4 On-going obligation 9 3.5 Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval proc...
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
such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a professional. Clause 3 In managing
companies oversee and manage such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a
companies oversee and manage such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a
13. In perform of duties as a derivatives broker for customer, derivatives broker shall (1) Perform duties with integrity and honesty, consider and maintain the best interest of the customer. (2) Treat
information to customer. Clause 13. In perform of duties as a derivatives broker for customer, derivatives broker shall (1) Perform duties with integrity and honesty, consider and maintain the best interest of
information to customer. Clause 13. In perform of duties as a derivatives broker for customer, derivatives broker shall (1) Perform duties with integrity and honesty, consider and maintain the best interest of
standards of conduct: (1) perform duties with 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