trading system of a digital assets exchange where he or she knows or ought to know that such act is likely to cause the purchase price or sale price or purchase volume or sale volume of any digital asset to
and cause the digital assets trading system to delay or be suspended. A36633673/0.7/02 Jul 2018 15 CHAPTER 7 COMPETENT OFFICER Section 51. In executing his or her duties, a competent officer shall have
on prevention of conflicts of interest (“COI”) in managing a mutual fund as well as to monitor and oversee acts that may cause COI, unfair characteristic or cause unitholders to lose the interest that
business as licensed; (3) the issuance of rules relating to the duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement
duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement, appointment, dismissal and discipline for personnel and employees
a mutual fund and shall monitor and oversee acts that may cause a conflict of interest to the unitholders and any acts that may have an unfair characteristic toward the unitholders or may cause the
process to members and shall include a system, in form of a committee, for consideration of appeals filed by the members against the disciplinary sanction. The Capital Market Supervisory Board rules
oneself or other persons, in any manner that is likely to cause a disadvantage to the client: (1) placing, modifying, or cancelling a trading order of securities or derivatives related to such securities by
days from the date on which the company has received such report. SECTION 89/17 A company shall arrange a system for safekeeping of documents and evidence in relation to disclosure of information under