-broker operations, the management of conflicts of interest and the access to the company’s information. These are critical systems, and failure to address these issues could lead to potential harm to
been applied by most institutional investors, i.e., (1) managing conflicts of interest properly, and (2) disclosing voting policy and voting results. Five other core principles are (3) adopting a clear
, parent company, subsidiary company, affiliate company or person who may have conflicts of interest; (b) not be an employee, staff, advisor who earns salary, or controlling person of the securities company
who may have conflicts of interest; 3 Repealed and repealed by the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 39/2553 Re: Qualifications and Prohibited Characteristics of
measures to prevent and manage conflicts of interest. Such mechanism and measures must be clearly outlined in the ICO filing. Additionally, specific significant matters would require approval from the
conflicts of interest. The revised rules also protect the best interest of investors by prohibiting collection of redundant fees, prohibiting the exercise of the voting right of the invested funds
; (5) directors, management executives and major shareholders with no prohibited characteristics approved by SEC; (6) no conflicts of interest between other operations and digital asset business with
for the Type D license under the specified requirements; for example, their businesses must be relevant, supportive or beneficial to the applying securities business without any conflicts of interest
3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5