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  • Conflicts of Interest

    • C4-2.1.14

      Each approved person should make every practicable effort to arrange his personal and business affairs to avoid a conflict of interest with the category 4 investment firm. This includes not using licensee’s information it for his personal profit, not to take business opportunities of the licensee for himself, and not to compete in business with the category 4 investment firm. The Board should also have in place a policy on the employment of relatives of the approved persons.

      Added: January 2022

    • C4-2.1.15

      Approved persons must inform the Board of conflicts of interest as they arise and abstain from voting on the matter in accordance with the relevant provisions of the Law.

      Added: January 2022