conflicts of interest with management of funds, or (b) being the position of director or derivatives investment manager or the position under Clause 7 (2) (a); (4) the appointee shall not be an employee or
following characteristics: (a) not causing any conflicts of interest with management of funds, or (b) being the position of director or derivatives investment manager or the position under Clause 7 (2) (a
conflicts of interest. In case such conflicts cannot be avoided, the procedures to ensure that investors are fairly and appropriately treated shall be implemented; (6) not support, instruct or cooperate with
) carefully perform duties to avoid conflicts of interest. In case such conflicts cannot be avoided, the procedures to ensure that investors are fairly and appropriately treated shall be implemented; (6) not
as the operation of the work units relating to undertaking the derivatives brokerage business in a manner whereby it can be demonstrated that a system to prevent conflicts of interests, a system to
prevent conflicts of interests, a system to prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place
the executives and employees that could cause conflicts of interest with the business; and prohibitions on corruptions which will cause damages to the organization2. 1.2.3 Appropriate penalties in the
Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by