2) Corporate Finance Adviser Code of Conduct(SFC) 《企业融资顾问操守准则》(证监会)3) Fund Manager Code of Conduct(SFC) 《基金经理操守准则》(证监会)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》...
Due Diligence Guidelines | Chapter 29.2 - SFC’s Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
The Securities and Futures Commission (SFC) today announced that it supports and sponsors the development of a code of conduct for voluntary adoption by environmental, social and governance (ESG) ratings and data products providers providing products and services in Hong Kong. The Voluntary Code of...
Suitability requirement 适用性要求 The Suitability Requirement is set out in Paragraph 5.2 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (SFC). It requires a licensed or registered person to, when making a recommendation or solicitation, ensu...
FUND MANAGER CODE OF CONDUCT First Edition pursuant to the Securities and Futures Ordinance (Cap. 571) April 2003 Securities and Futures Commission Hong Kong TABLE OF CONTENTS Page INTRODUCTION I. ORGANISATION AND STRUCTURE 1. 2. II. Organisation and Management Structure Staff Ethics 2 5 1 FUND ...
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...
On 29 September 2022, the SFC suspended the licence of a hedge fund manager for two years after the SFAT upheld the SFC’s disciplinary action against him for breaches of the Code of Conduct by dealing in shares based on information obtained during a market sounding call.SFC...
1 Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission 2 The Stock Exchange of Hong Kong Limited 3 A non-derivative fund or ETF is one with a net derivative exposure of up to 50% of its NAV under the UT Code effective on 1 January 2019 (subj...
The SFC found that Citigroup’s misrepresentation and non-disclosure breached the SFC Code of Conduct. Internal control failures The SFC found that the prevalence of the dishonest behaviour among the trading desks over more than 10 years indicated serious and systemic lapses across Citigroup’s govern...
with the general principles of being honest with clients, acting in the best interests of clients, disclosing conflicts of interest and taking all reasonable steps to ensure fair treatment of clients if conflicts of interest cannot be avoided, as required under the SFC’s Code of Conduc...