rating; (8) investment advisory company shall not undertake any improper act which may cause damage to the user of information, mutual fund, asset management company, or confidence in securities business
be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action. Clause 8 An intermediary shall
cash, things or services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary’s resources for wrongful action or support
Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall include the
having improper manner on securities dealing, the Office may order such securities to amend, to act or to refrain from any act in compliance with this notification. Notified this 26th day of September 2000
company violates or fails to act in compliance with this notification or the regulation prescribed by the securities company under this notification or having improper manner on securities dealing, the
fails to act in compliance with this notification or the regulation prescribed by the securities company under this notification or having improper manner on securities dealing, the Office may order such
management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper access to inside