undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an

accordance with the established mission, strategies, policies and operating plans and such policy should contain the following subject matters at a minimum: (1) establishment of criteria and factors for

” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager

suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of

companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of approval for

prior approval from the Office, which will help facilitate their business operation.

marketing representative of private funds; “Customer solicitation” means soliciting of customer to enter into an agreement with a private fund management company by preparing investment plans for such

support the offerings of Hong Kong funds, including Exchange Traded Fund (ETF), in Thailand. In this regard, the SEC plans to conduct a public hearing on the proposed revisions and will clarify the

shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works

broker intends to share the branch manager with other full-service branch offices such derivatives broker shall submit the application together with document evidence showing the details of plans for