Conflict of interest management: exchanges must maintain internal manuals, provide employee training, and perform periodic reviews for regulatory functions. Stock exchanges and clearing corporations must maintain an internal manual for conflict resolution governing conflicts between commercial and regulatory functions, implement a policy for comprehensive employee training and awareness on conflicts of interest in regulatory departments, and establish a conflict management framework that is periodically reviewed and strengthened based on review observations.
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Conflict of interest management: exchanges must maintain internal manuals, provide employee training, and perform periodic reviews for regulatory functions.
Stock exchanges and clearing corporations must maintain an internal manual for conflict resolution governing conflicts between commercial and regulatory functions, implement a policy for comprehensive employee training and awareness on conflicts of interest in regulatory departments, and establish a conflict management framework that is periodically reviewed and strengthened based on review observations.
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