operation; risk 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
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 information among work units
Regulations on Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall
improper investments or transactions, an intermediary shall include the following conditions in the agreement with a client for providing services as derivatives agent: (1) the client agrees to notify and
characteristics; (3) having any improper behavior which, if considered on a reasonable ground, materially affected clients, investors, company or shareholders, or money market or capital market as a whole, in a