investment for the client , the intermediary shall provide a system for controlling the client ’s assets to prevent being lost, damaged and unlawful exploitation; (10) having compliance system in accordance
, damaged and unlawful exploitation; (10) having compliance system in accordance with the Notification of the Capital Market Supervisory Board concerning Establishment of Compliance Unit of Intermediaries
organization, use of information and information systems in compliance with assigned roles and responsibilities, unauthorized access, abnormal and/or illegal use of information systems and user identification of
and the credibility of the companies. Since it is possible that those committing predicate offences under anti-money laundering legislations may use securities transactions to launder illegal proceeds
policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by the employees and conflicts of interest in the
year. Clause 18 The intermediary shall ensure that the foreign personnel under Clause 16 refrain from undertaking any act which may be unlawful or non-compliance with the relevant rules, and the
ninety days in that particular calendar year. Clause 18 The intermediary shall ensure that the foreign personnel under Clause 16 refrain from undertaking any act that may be unlawful or non-compliance with
conflict of interest in the organization, use of information and information systems in compliance with assigned roles and responsibilities, unauthorized access, abnormal and/or illegal use of information
such information on a need-to-know basis and prevents unlawful use of such information; (2) a system for management and storage of data, documents or relevant evidence, for example, efficient records of
information, which restricts access to such information on a need-to-know basis and prevents unlawful use of such information; (2) a system for management and storage of data, documents or relevant evidence