access of inside information by unauthorized personnel [ii] internal control and [iii] risk management of undertaking trust business, including measure for controlling and monitoring operation of its
company did not use such information for the benefit of supervision to prevent misuse of inside information or commission of inappropriate and illegal actions by its employees. The aforesaid defects of AEC
. Even though the relationship between clients and employees was found out, the company did not use such information for the benefit of supervision to prevent misuse of inside information or commission of
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
the investor prescribed in (1) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the
an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to public and the securities known by its business
document work, reduce management costs and increase efficiency in business management, including salary payroll, bulk payment for retail fund transfer to another bank, bill payment for products and services
2019. The bulk of this revenue growth will come from (1) the full-year revenue contribution of TST Tower and (2) Underwood Street office building, which has completed major renovations and is now ready
Clause 2, the derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation