the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
its personnel and its clients and between a client and another client ; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your
In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is a part of financial conglomerate which has share holding structure, examination of
securities borrowing and lending services to customers. In this instance, when making allocation to its lending customers, such client SBL unit shall treat the proprietary account as another customer. Clause
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
issued shares due to a significant suspicious ground regarding management mechanism in any of the following manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to
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
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
hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person
. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock