DUTY OF THE EXECUTIVES OR EMPLOYEES
1. Maintenance of Independence and Objectivity
Executives and employees of GSIA members shall not perform any activities that are influenced by their own or a third party’s interests. They shall take reasonable care to maintain their independence and objectivity.
2. Prevention of Conflicts of Interest
Executives and employees of GSIA members shall do their best to prevent conflicts of interest between the company, shareholders, or customers, and in cases where there is a conflict of interests, it shall be managed in accordance with due process of law.
3. Prohibition of Unfair Transactions
Executives and employees of GSIA members shall not engage in any unfair trade practices including the use of undisclosed important information or manipulating the market, and also they shall not participate in unfair transactions that can be identified through the exercise of reasonable care.
4. Prohibition of Accepting Money and Valuables
Executives and employees of GSIA members shall not request gifts, etc., or accept entertainment, money or other objects of value, etc. that are in violation of the social commercial code, in return for performing their duties or in connection to their duties.
5. Reporting of Practices in Violation
Executives or employees of GSIA members shall, in the case where they have identified a violation of the law or the code of ethics, or recognised the possibility of such a violation while performing their duties, immediately report such a violation to their superiors or the relevant department.
6. Development of Expertise
Executives or employees of GSIA members shall devote themselves to remaining well informed of the theory and work needed for the performance of their duties, and they shall make best efforts to maintain and improve their expertise to fulfil the duties they are required to perform.
7. Mutual Respect
Executives or employees of GSIA members shall respect and be courteous to their colleagues, and they shall establish relationships based on mutual trust through fair competition.
