Government Awards 2020 and Honorable Mention of the 9th NACC Integrity Awards 2019 4. Summary of rules on Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People’s Republic of
Government Awards 2020 and Honorable Mention of the 9th NACC Integrity Awards 2019 4. Summary of rules on Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People’s Republic of
based on integrity and codes of conduct in the following areas: 1.1.1 Daily routine operation and decision making; 1.1.2 Treatment of trade partners, clients and other parties. 1.2 Following written rules
Notification of the Office of the Securities and Exchange Commission concerning the Rules on Operating a Derivatives Clearing House; (4) having directors and executives with honesty and integrity based on their
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
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
approved by the Office must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without
knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without any disgraceful record, and must
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