principles in order to prevent disputes or risks to the company such as risks to reputation.In the past, SEC participated in this matter by attending a seminar organized by the Ministry of Justice and the
effective handling of complaints and disputes arising from trading services with respect to derivatives, or from use of its services, by taking at least the following actions: (1) set out written rules on
“opinion shopping”? 10 How does firm deal with domineering/awkward personalities at Board or senior management level? 11 How does firm deal with client disagreements? D Internal Pressures: 1 How do partners
deal with client disagreements? 12 How does the firm ensure access to all necessary and updated information for evaluating client risks, especially information from external sources? _x000D_&1#&"Tahoma
, parent company, subsidiary company, affiliate company or person who may have conflicts of interest; (b) not be an employee, staff, advisor who earns salary, or controlling person of the securities company
who may have conflicts of interest; 3 Repealed and repealed by the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 39/2553 Re: Qualifications and Prohibited Characteristics of
; (5) directors, management executives and major shareholders with no prohibited characteristics approved by SEC; (6) no conflicts of interest between other operations and digital asset business with
conflicts of interest. The revised rules also protect the best interest of investors by prohibiting collection of redundant fees, prohibiting the exercise of the voting right of the invested funds
measures to prevent and manage conflicts of interest. Such mechanism and measures must be clearly outlined in the ICO filing. Additionally, specific significant matters would require approval from the
worth $25? Who drained $600 million from FTX? November 20 & 21, 2022 Some fundamental problems • Hidden assets and liabilities • Conflicts of interest • Extreme leverage, often secured by risky assets