2. SFC’s Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (the Code of Conduct) 2.1 Standards 2.1.1 A sponsor should deal with the regulators in a truthful, cooperative and prompt manner. [Paragraph 17.2(d) o...
内容提示: FUND MANAGER CODE OF CONDUCTFirst Editionpursuant to the Securities and Futures Ordinance (Cap. 571) April 2003Securities and Futures CommissionHong Kong 文档格式:PDF | 页数:19 | 浏览次数:18 | 上传日期:2013-07-08 01:57:42 | 文档星级: ...
“The Voluntary Code of Conduct will help strengthen the transparency, quality and reliability of ESG information used by licensed corporations in their investment decisions,” said Ms Julia Leung, the SFC's Chief Executive Officer. “This is an important initiative to mitigate the risk of greenwash...
simply any client compliant to the SFC, it will topside the whole licensed intermediary having no defense. The SFC will nail down the “Senior Management” as per para 7.1 SFC Code of Conduct has 只要我知道,几乎市场球员在任意帐户给零售客户,简单地任何客户不会提供证券边际财务服从对SFC,它将顶边...
Purpose of this Code This Code aims, firstly, to supplement codes and guidelines applicable to all categories of licensed or registered person with guidance in respect of the minimum standards of conduct specifically applicable to Fund Managers. It does not replace any legislative provisions, codes ...
(b) application of SFC’sinternal CodeofConduct which requires the highest standards of integrity and conduct from its [...] legco.gov.hk legco.gov.hk (b) 實施證監會的內部操守準則,該 準則對 證監會董 事 (包括主席及非執行董事) 及職員的忠誠及 操守 作出最高 ...
4) Code of Conduct for Persons Registered with the Securities and Futures Commission 《证券及期货事务监察委员会注册人操守准则》5) Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission 《证券及期货事务监察委员会持牌人或注册人操守准则》...
SFC Applies Takeovers Code to Hong Kong Listed REITs and Enhances Market Conduct Regulation for Listed Collective Investment SchemesMilton W. M. ChengJason See Wei Ng
In the case of any inconsistency, the provision requiring a higher standard of conduct will apply. This Code does not have the force of law and should not be interpreted in a way that it would override the provisions of any law. 1.4 Enforcement The SFC will use this Code as a bench...
SFC Applies Takeovers Code to Hong Kong Listed REITs and Enhances Market Conduct Regulation for Listed Collective Investment Schemes 来自 bakermckenzie.com 喜欢 0 阅读量: 14 作者:MWM Cheng,JSW Ng 年份: 2010 收藏 引用 批量引用 报错 分享 全部来源 求助全文 bakermckenzie.com ...