Conflicts of Interest Policy

Kazakhstan

Updated: Mar 03, 2021

5 clauses


Yenlik Muratova

Solo Practitioner

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Key description

  • This document has been prepared for an investment management company to meet the regulatory compliance. Under the Astana International Financial Center (AIFC) law, which is based on principles of English law, every financial services provider registered in AIFC shall have this document.

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General

  • Introduction

  • Scope And Application of The Conflicts of Interest Policy (CIP)

  • Conflict of Interest

  • Managing Conflicts And Mitigating Techniques

  • Acknowledgement And Review of Compliance

  • Appendix 1 - Conflict of Interest Register

  • Appendix 2 - Notification on Inducement

  • Appendix 3 - Disclosing Inducements Summary Form

  • Appendix 4 - Conflicts of Interest Policy Acknowledge Form


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