Philippine Securities Broker-Dealer Rules

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SEC: Philippine Securities Broker-Dealer Rules

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Title Supreme Court: Philippine Securities Broker-Dealer Rules

Law: Sec

Decision Date: May 9, 1996

The SEC establishes stringent ethical standards and operational rules for brokers and dealers, ensuring fair trading practices, customer protection, and compliance with securities regulations, including guidelines on suitability, supervision, and the prohibition of deceptive practices.

business conduct

ethical standards

commercial honor

END