) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall
management system; (7) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel
should ensure that a proper mechanism is in place for the nomination and development of senior management executives and management of personnel structure, ensure effective performance of duties by the CEO
securities company, the term “personnel” and “employee” under this Notification shall also include any person who is entrusted to perform the duty for a securities company. Clause 3/2. Clause 16 shall apply to
Ponzi scheme. Such scheme can be detected by ambiguous business plans, products or platforms, as well as the lack of trustworthy personnel. Therefore, investors should be extra cautious not to get
; - 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
standards and relevant regulations as well as being communicated to the personnel. Moreover, the inspection results of individual audit engagements in 2017 showed that the overall audit quality had improved
performed by engagement personnel meets applicable standards, regulatory requirements, and the firm’s standard of quality. Engagement performance encompasses all phases of design and execution of the
collective efforts will help to increase investors? knowledge and understanding of their rights and how to exercise them effectively. We also encourage intermediaries and personnel in the capital market to
personnel in accordance with the governing regulations within the requested extension of deadline. Therefore, by virtue of Section 35 Paragraph 3 of the Emergency Decree and Clause 7 of the Notification of