) 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
(c) the back office agreed to execute such transaction even though the contact phone number was not the one given by the client; (3) surveillance system to prevent conflicts of interest: 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
SEC Office’s Project to Resolve Disputes by Arbitration; (3) having business plan and operating system prepared for establishing the branch office. In this regard, such system shall compose of efficient