behalf of the client, or [ii] providing inappropriate services to many clients which have rendered improper benefits to them as a result of conflict of interest among them; (6) entering into a transaction
, the Code of Ethics for Professional Accountants, and the issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control
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
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
) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall
management system; (7) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel
in Wood Veneer Project for more wood sourcing channels to supply wood in varied sizes. For improper sizes being produced for company products, they will be in wood veneer production process for sale