The possible situations of the conflict of interest. 4.1. The Policy applies to: 4.1.1. persons which in accordance with the binding JSC “Rietumu Banka” Procedure of Identification of Persons Associated with the Bank are classified as associated persons; 4.1.2. employees of the Customer Servicing and Sales Department and/or employees of the Assets Management Department of the company; 4.1.3. Chairman of the Council, Council member, Chairman of the Board, Board member of the company, attracted agents or other persons who when passing relevant decisions on behalf of the company create civil liability for the company; 4.1.4. Chairman of the Council, Council member, Chairman of the Board, Board member of the company’s attracted agent or other persons who when passing relevant decisions on behalf of the attracted agent create civil liability for the company; 4.1.5. an employee of the attracted agent; 4.1.6. a lawyer of the Financial Markets Legal Division of Legal and Compliance Department of JSC “Rietumu Banka”, a specialist of JSC “Rietumu Banka” Risk Management Department or other specialist of JSC “Rietumu Banka” who in accordance with the concluded outsourcing agreement is directly involved in the provision of the outsourcing service. 4.2. The Company takes all the necessary actions, in order to identify and prevent the situations of the conflict of interest that might arise, when providing the investment services or in other circumstances:
Appears in 4 contracts
Samples: Client’s Financial Instruments Portfolio Individual Management Agreement, Client’s Financial Instruments Portfolio Individual Management Agreement, Client’s Financial Instruments Portfolio Individual Management Agreement
