underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of
trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a
shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the
unit responsible for custody of private fund assets shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling
amendment include creation of preventive mechanism against conflicts of interest, selection of intermediaries to support offer for sale of mutual funds of different types that would serve different target
directors are clearly defined. 2.2 The board of directors oversees whether the company goals are clear and measurable to be used as guidelines for executives’ and employees’ operation. 2.3 The board of
Transition Plan for Investors" to raise awareness and enhance asset management companies’ skills considering the opportunities and risks of climate change. This involves creating a clear, comprehensive, and
clear-cut regulations to accommodate business operation and service provision in the form of partnership so that business operators will be able to run their business according to their expertise and take
change the chain of command to bring about more comprehensive and clear situation awareness while the executive reshuffle will also be undertaken. The restructuring will become effective as from August 1
matter to ensure that the investors will have accurate and clear information for investment decision-making. Meanwhile, investors are urged to follow up the company?s clarification and take precaution in