policy to prevent and manage conflicts of interest as prescribed in Clause 17 shall describe at least the following contents: (1) identifying conflicts of interest which may arise in every process of
conflicts of interest which may arise in every process of business operation; (2) designating systems and measures for preventing conflicts of interest at least the following rules: (a) ensuring that any
as well. For example, for investment or encumbrance creation of mutual funds or private funds, it shall consider a process in settlement or delivery which may affect to an overall market system. For a
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
necessary or facilitate to process data completely, accurately, and effectively, such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Chapter 1
laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC
of customers, the target customers, the project value, the sale and construction progress, etc. Describe the research and development policy in areas and specify the details of the process of
and a trustee; (2) beneficiary identifiable by name, qualification or any character that specifies beneficiaries of trust; (3) objectives of trust; (4) property constituting trust property. SECTION 15
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person
notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business