each transaction. (12)3 repealed; (13)2 “connected person” means the following persons; (a) connected person under the Notification concerning Conduct Which May Constitute a Conflict of Interest in the
Which May Constitute a Conflict of Interest in the Management of Mutual Funds in the part related to conclusion of transactions for property funds, mutatis mutandis ; (b) related party of a fund which
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
learned from the Board of Directors Meeting Agendas. In addition, he did not report his conflict of interest to the Board of Directors that on January 25, 2016 he bought 10,000 contracts of JASH16 Futures
+, which is the service of Zipmex Pte. Ltd, and gained benefits from digital asset exchange fees. Additionally, such operation of Zipmex had no measure to protect the conflict of interest and to control the
] the intermediary ’s personnel would be able to complete their functions correctly and will not make the intermediary breach or fail to comply with applicable laws and regulations, including relevant
a regular basis. A securities company shall maintain complete evidentiary documentation related to the operation in Paragraph 1 and Paragraph 2 in a manner ready for prompt retrieval or inspection by