, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a
interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the
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their duties for the best interests of the company. Therefore, A person who has a conflict of interest must not do business which is in competition with the company. There must be no related party
. Summary of regulations 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules
). The award may induce the counsel to take part in the case and to facilitate the Class Action litigation for the injured person. I n addition, the plaintiff and the counsel for the plaintiff are the
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses