brokerage, securities dealing or undertaking of investment units All mutual fund supervisors No. Nor Jor.(Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border
fund supervisors No. Nor Jor. ( Wor) 6/ 2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the
of Listed Companies Concerning the Acquisition and Disposition of Assets, 2004 (collectively, the “Notifications on Acquisition or Disposal”) The maximum transaction value calculated based on
comply with the following criteria: (1) the derivatives broker shall perform his or her duty honestly by taking into consideration the best interests of clients; (2) the derivatives broker shall give
as a derivatives broker for clients, the derivatives broker shall comply with the following criteria: (1) the derivatives broker shall perform his or her duty honestly by taking into consideration the
the past 3 years, together with the management company’s opinion on the guarantor’s ability to perform its contractual obligations. Clause 8 Information about transactions between a mutual fund and
laws or regulations do not specifically require a derivatives exchange to perform by itself, and which are necessary to enhance its business operation efficiency, the derivatives exchange may outsource
shall apply to the approval of auditors of businesses in the capital market. In this regard, the auditors approved by the SEC Office under this Notification shall be allowed to perform audit work and
Committee. 3 To perform such duties completely, the Audit Committee is empowered to call in or ask the Management, heads of relevant units and employees, to voice their opinions, attend a meeting or provide