indicating cheat or dishonest, irresponsibility, reckless in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its
in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; In case where shareholder under the first paragraph is a legal entity, its director or
respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in
interest that may or may not be a breach of laws. Corruption can occur in both public and private sectors, including company executives misusing their power or position to seek personal gains. Alliance
( ACRA), Philippines Securities and Exchange Commission, and the SEC Thailand. Cooperation with Foreign Regulators The SEC places a strategic focus on proactive alliance with fellow regulators