management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy
exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business. "investment advisory service" means giving advice in the normal
therefrom. "securities dealing" means a purchase, sale or exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business
” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of matching orders or arranging for counter parties, or by way of providing a
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honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. The securities company shall have a policy on prevention of conflicts of interest in managing
company. DIVISION 2 DUTY AND RESPONSIBILITY OF DIRECTOR AND EXECUTIVE SECTION 89/7 In conducting the business of the company, a director and an executive shall perform his duty with responsibility, due care
______________ 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
Practices ______________________ SECTION 238 The provisions under this Division shall apply to listed securities and securities traded in the over-the-counter center. SECTION 239 In this Division: “executive