behavior indicating unfair practices or taking advantage of the investors in securities or derivatives trading or aids or abets or used to aid or abet the others in connection with such behavior. Part 3

risks; (3) Employees communication and training on policies and guidelines for anti-corruption; (4) Guidelines for monitoring and evaluating the implementation of the anti-corruption policy; (5) Review of

) Guidelines for monitoring and evaluating the implementation of the anti-corruption policy; (5) Review of adequacy and completeness of the anti-corruption process by the audit committee or the SEC-approved