Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of
Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of conduct approved by the board
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
on offences relating to unfair derivatives trading, securities trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding
, or arranger may mislead market participants. Likewise, conflicts of interest or other undue factors internal and external that might, or even appear to, impinge upon the independence of ity. Where
ensuring that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the
investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the disciplines in accordance with such
that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the