well; (6) demonstrating that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts of
) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall
management system; (7) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel
, Executives and Major Shareholders of Trustee dated 4 June 2009. 3 (6) being able to demonstrate that the applicant would have an efficient policy and measure for [i] preventing conflicts of interest and the
effective and appropriate risk management and an internal control system in compliance with the applicable laws, and ensure that conflicts of interest are effectively dealt with and complaints are handled
office agreed to execute such transaction even though the contact phone number was not the one given by the client; (3) surveillance system to prevent conflicts of interest: the system was found to be
) surveillance system to prevent conflicts of interest: the system was found to be inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions
; การจัดการความขัดแย้งทางผลประโยชน์ (conflicts of interest) ผู้ประกอบธุรกิจต้องจัดการความขัดแย้งทางผลประโยชน์อย่างเป็นธรรม ไม่ว่าจะเป็นความขัดแย้งทางผลประโยชน์ระหว่าง
to be Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with the management of funds; or (b) being the position