|
Article 41-1
|
When a securities firm engages in financial derivatives trading, if the trading counterparty is a related party of the securities firm as referred to in Article 41, paragraph 1, subparagraphs 1 to 3 or is an employee of the securities firm, the transaction terms may not be more favorable than those offered to other similarly situated counterparties.
A securities firm shall include the provisions of the preceding paragraph among its internal control and internal audit items, and prudently review the reasonableness of the financial derivative transaction amount limits and transaction terms offered to its related parties and employees.
|
Info
|