RULES & REGULATION

1. Corporate Governance Board Structure and Responsibilities: Define the roles, duties, and responsibilities of board members in accordance with the Finnish Companies Act. Shareholder Rights: Ensure policies protect shareholder interests, including voting rights and access to information. 2. Regulatory Compliance Authorization: Investment firms must obtain authorization from the Finnish Financial Supervisory Authority (FIN-FSA) to provide investment services. FINANSSIVALVONTA.FI Capital Requirements: Maintain adequate capital as mandated by the Investment Services Act (747/2012) to ensure financial stability. FINANSSIVALVONTA.FI 3. Risk Management Internal Controls: Implement robust internal control systems to manage business risks effectively. Conflict of Interest: Establish procedures to identify and prevent conflicts of interest, ensuring fair treatment of clients. 4. Client Relations Transparency: Provide clear and accurate information to clients about investment products and associated risks. Data Protection: Comply with the General Data Protection Regulation (GDPR) to safeguard client information. 5. Financial Reporting Record-Keeping: Maintain comprehensive records of all transactions and financial statements as required by Finnish law. Disclosure: Regularly disclose financial information to relevant authorities and stakeholders. 6. Anti-Money Laundering (AML) Policies and Procedures: Develop AML policies in line with the Finnish Act on Preventing Money Laundering and Terrorist Financing. Employee Training: Conduct regular training sessions to ensure staff can identify and report suspicious activities. 7. Investment Activities Permitted Services: Clearly define the scope of investment services offered, ensuring they align with the firm's FIN-FSA authorization. Marketing Practices: Adhere to regulations governing the marketing of investment products, ensuring communications are not misleading. 8. Foreign Investment Considerations Screening of Foreign Acquisitions: Be aware of the Act on the Screening of Foreign Corporate Acquisitions, which allows authorities to restrict foreign ownership in companies essential to national interest. ICLG.COM By integrating these elements into your company's rules and regulations, you can ensure compliance with Finnish investment laws and promote ethical business practices.