HND Financial Services Regulatory Framework金融服务业规范

nterestIfthefirmfindsthatitisinapositionwherethereisaconflictofinterestwiththecustomer,thefirmmustmanagethisfairly.Ifithasamaterialinterestinatransactionormightenterintoatransactionthatcreatesaconflict,itmustnotknowinglyadviseordealonbehalfofthecustomerunlessittakesstepstoensurefairtreatmentforthecustomer.Disclosingtheinteresttothecustomers,relyingonapolicyofindependence,ethematerialinterestdilemma.plianceofficermustbeanemployeeofthefirm.pany,orthepartnersofthefirm.plianceofficer’sresponsibilityisthesupervisethefirm’scomplianceproceduresandensurethatrulesareenforced.hefitnessofthosewhoaregivinginvestmentadvice.Theyarerequiredtoreportannuallytotheboardandtoco-plianceofficer.plianceproceduresmusttakeplaceonatleastanannualbasisifthefirmhas:Tenormoreadvisers,orOneormoreappointedrepresentatives