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.
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
integrity, fairness, accountability and orderliness in trading of listed securities, taking into consideration benefits of the capital market and investor protection. • The SET must comply with rules for
variety of financial tools, flexibility and competitiveness of securities businesses, safeguards market stability, ensures securities trading fairness, and facilitates easy access to information. The SEC
Memorandum of Understanding (MoU) between the Securities and Futures Commission of Hong Kong (SFC) and the Securities and Exchange Commission of Thailand (SEC) Concerning Mutual Recognition of
beneficiaries, and any issues of intergenerational fairness between them as well as where the ultimate risk-bearing lies within the institutional investor. The ICGN has summarised the key obligations of
■ Revision of the Regulations Governing Provident Fund Management to Promote Transparency and Fairness Among Members ■ Promotion of Long-term Savings ■ Issuance of Non-Voting Depositary Receipt : NVDR
collective investment scheme established in the ASEAN region that is approved and under supervision of the home regulator that is a signatory to the Memorandum of Understanding Concerning Cooperation and
Capital Market to Ensure Efficiency, Fairness, Transparency and Integrity”, under which it is entrusted with 4 major policy objectives : (1) maintain fairness in the financial market, (2) develop and
investment analyst by a regulator in an ASEAN country which is accepted by the SEC Office.1 1 an ASEAN country which is accepted by the SEC Office means a signatory to the Memorandum of Understanding on the