representative specifying the rights and the duties of the management company and the representative that are not contrary or opposed to the law on securities and exchange and relevant rules issued by virtue of
Clause 15 It shall be deemed to be conflicts of interest where the interest of the following persons are opposed: (1) the interest between a client and an intermediary or its related person; (2) the
_____________________________ Division 1 Types of Conflicts of Interest _____________________________ Clause 15 It shall be deemed to be conflicts of interest where the interest of the following persons is opposed: (1) the
characteristics of personnel in securities business or violates or fails to comply with Clause 11, the Office shall take actions against such person following the rules and procedures prescribed by the Notification
units with an agreement that the insured shall pay premium to the life insurance company for protection against death or payment upon life and the insured shall pay for the purchase of the mutual fund’s
in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished for management in the manner of deceit, fraud or dishonesty relating to offences against property as
being punished or legally proceeding against for management in the manner of deceit, fraud or dishonesty relating to offences against property as specified as prohibited characteristic in Group 2 under
Notification of the Capital Market Supervisory Board governing prohibited characteristics of personnel in securities business or violates or fails to comply with Clause 13, the Office shall take actions against
1. This Notification shall come into force as from 1 January 2001. Clause 2. In this notification, unless the contrary intention appear, “Securities” means the securities which are not debt
they are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circulars issued under or prescribing guidelines in compliance with this