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: ...
7. 8. Dealing with Clients Marketing Activities Fees and Expenses 13 15 15 APPENDIX 1 Minimum Content of Discretionary Client Agreement 17 FUND MANAGER CODE OF CONDUCT HONG KONG INTRODUCTION Persons to whom this Code applies This Code sets out conduct requirements for persons licensed by or ...
Fundamental to the Hong Kong Takeovers Code are the consequences of the acquisition of “control” of a Hong Kong-listed company (HKEX-listed company) (or other company to which the code applies6). “Control” is defined as holding 30% or more of a company’s voting rights which...
investor” in section 1 of Part 1 of Schedule 1 to the SFO. “Qualified corporate professional investors” refers to corporate professional investors which have passed the assessment requirements under paragraph 15.3A and gone through the procedures under...
best interests of clients, treating clients fairly, avoidance of conflicts of interest and confidentiality of clients’ information. Topics relating to “compliance” include, but are not limited to, the legal and regulatory framework of the financial industry, codes of conduct and industry ...
The SFC takes this opportunity to remind practitioners and parties who wish to take advantage of the securities markets in Hong Kong that they should conduct themselves in matters relating to takeovers and mergers in accordance with the Takeovers Code. If they do not, they may find by way of ...
Securities and Futures Commission (the "Code of Conduct") that would apply to intermediaries conducting bookbuilding and placing activities in Hong Kong. The SFC also proposed, in the ECM context, a "coupling" of the role of the syndicate head and the sponsor of an offering ("Sponsor ...
README Code of conduct License 1000 AI collection tools More than 1000 Artificial Intelligence AI-powered tools categorized & updated 28 Aug. 2023 !Before using any AI tools remember to read and check the Terms and Conditions / Privacy policy. Especially for using your personal pictures! Index...
1.7 The role and responsi bil ity of financi al and other professional advisers is of particular importance given the non-statutory nature of the Codes, and it is part of their responsibility to use all reasonable efforts, subject to any INTRODUCTION relevant requirements of professional conduct,...
Matchday Getting To/From Parking Fan Code of Conduct National Anthem ContactSearch this website RECAP | Las Vegas Lights FC 3:3 Colorado Switchbacks FC – June 18, 2024Lights FC Communications June 18, 2024 9:57 pm Share The Las Vegas Lights and Colorado Springs Switchbacks played to ...