the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for [i] preventing conflicts of interest, [ii
outsourced function; (3) specify measures for preventing conflicts of interest related to outsourcing the function related to business operation to a third party; (4) specify measures for supervising the
Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall include the
Directions and Operations of Core Businesses 3.1 Sustainable Development and Corporate Governance The Board of Directors has reviewed our human rights policy guidelines which will be used for preventing
responsible for issuing rules for preventing conflict of interest, internal control of such investment advisory company, including the supervision of advisors to comply with the law, related Notifications and