or a private fund manager who is responsible for making decisions regarding investments in or disposals of securities or other assets that are not immovable properties, leasehold rights to immovable
manager” means a mutual fund manager or a private fund manager who is responsible for making decisions regarding investments in or disposals of securities or other assets that are not immovable properties
through banks, or client repeatedly purchases cashier cheques for settlement; (10) unexplained settlements or transfers of assets in large amount from or to accounts of third parties, who are not ultimate
attempt to avoid conducting transactions through banks, or client repeatedly purchases cashier cheques for settlement; (10) unexplained settlements or transfers of assets in large amount from or to accounts
transfers of assets in large amount from or to accounts of third parties, who are not ultimate beneficial owners or ultimate controlling persons; (11) the client refuses to show the true identity, does not
derivatives broker shall exercise its prudence by reviewing the financial status, sources of income, and assets to be placed as collateral or for repayment in derivatives trading. Clause 23. Prior to opening an
to place collateral and the client’s repayment ability under Paragraph 1, the derivatives broker shall exercise its prudence by reviewing the financial status, sources of income, and assets to be
disclose information and the vision of the management in order to assist investors to better understand the company's financial status and operation. It also supports the "Good Corporate Governance Project