. Even though the relationship between clients and employees was found out, the company did not use such information for the benefit of supervision to prevent misuse of inside information or commission of
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
the investor prescribed in (1) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the
an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to public and the securities known by its business
removal of at least one-half of all directors. “ derivatives ” means derivatives under the law governing derivatives. “ inside information ” means any information that has not been made public, and which is
) having control, whether directly or indirectly, over the appointment or removal of at least one-half of all directors. “derivatives” means derivatives under the law governing derivatives. “inside
Clause 2, the derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation
derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation, operational
and efficient management; (b) efficient policies and measures on prevention of conflicts of interest, prevention of access to inside information between responsible units and other personnel, internal