customer or the investor; (b) compliance with the investment policy and rules concerning investment as specified by the law; (c) prevention, correction or management of any risks arisen from investment. (3
) Letter from the commercial bank, securities business operator or derivatives business operator which has acknowledged the rules on internal control and prevention of conflicts of interest and duty in
manual and compliance manual; (3) Letter from the commercial bank, securities business operator or derivatives business operator which has acknowledged the rules on internal control and prevention of
undertaking of business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various
business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various guidelines
clearer determine the characteristics of transaction which the mutual fund is allowed to make with related person and to specify the rules for prevention of conflicts of interest between the property fund
issuing this Notification is to clearer determine the characteristics of transaction which the mutual fund is allowed to make with related person and to specify the rules for prevention of conflicts of