their product offering approaches to prevent conflicts of interest with parent companies. Strategy Four: To develop tools for empowering investors in their investment decision making, preventing frauds

had to pay redundant expenses without the knowledge of the undisclosed information of such conflicts of interest, both before and after investing in such foreign funds;                (3)  failing to

and lack of appropriate client acceptance procedures on non-audit service acceptance decisions. Setting proper procedures to identify impacts on independence and possible conflicts of interest was

. Nor Por. 2/2562. Re: Determining Policies, Measures and Operating Systems concerning Acts That May Cause Conflicts of Interest with Clients of Securities Companies and Proprietary Trading of Securities

areas to prevent conflicts of interest. Additionally, DA operators will be required to establish internal rules or procedures for customer asset safekeeping.   In this regard, the current DA operators

the auditor without the presence of the management at least once a year. - Review the connecting transactions or transactions that may have conflicts of interest to ensure that they are accurate

;  - separate departments or personnel responsible for customer assets safekeeping from other operational areas to prevent conflicts of interest. Additionally, DA operators will be required to establish internal

thus voluntary compliance with CG principles as opposed to merely abiding by the rules. This includes improving their product offering approaches to prevent conflicts of interest with parent companies

and operating systems, as specified in details in Chapter 3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing

specified in details in Chapter 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