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Article 29
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No director, supervisor, managerial officer, or employee of an OTC trading enterprise may do any of the following acts:
- Directly or indirectly engage in securities trading or financial product transactions using knowledge gained in the performance of duties.
- Divulge any secret learned in the performance of duties.
- Solicit, agree to accept, or accept any improper benefit for an action performed in the course of duties or in breach of duties.
- Fail to recuse oneself when performance of duties involves any interest of one's own.
- Commit any misrepresentation, fraud, nondisclosure, omission, or other misleading conduct in the conduct of OTC trading of securities or other financial products.
- Violate any law or regulation or the Competent Authority's requirements by commission or omission.
The provisions of paragraph 1 apply mutatis mutandis to the exercise of duties by the representative or designated representative of a director or supervisor that is a juristic person.
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