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
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
referable source; (2) 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
demeanors are prohibited characteristics in Group 3: (1) having a reasonable ground to believe that there is or was [i] a misconduct against duty or service with reference to loyalty and fairness, [ii] lack
the person acts or has acted in a manner indicating malfeasance in the operation or provision of services which requires honesty and fairness in respect of financial advisory service, securities
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
Section 133 Securities and Exchange Act B.E. 2535 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
accordance with the principle of fairness and consistency for all funds under its supervision, as specified by the rules and procedures of the Association upon the approval of the Office; (h) Systems for
accordance with the principle of fairness and consistency for all funds under its supervision, as specified by the rules and procedures of the Association upon the approval of the Office; (h) Systems for