employee who is capable of giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b) arranging a communication system which clients can
Kong Covered Fund to the public in Thailand. 5. In view of the differences between the Thai and the Hong Kong regulatory regimes, and to ensure proper investor protection and consistency with the
relevant Hong Kong laws and regulations and will enjoy a streamlined process of authorisation for offering to the public in Hong Kong. 5. In view of the differences between the Hong Kong and the Thai
present a true and fair view of the company’s position and prospects. As appropriate, taking into account statutory and regulatory obligations in each jurisdiction, the information provided in the annual
. Human resource planning and allocation Advanced and appropriate human resource planning and allocation will ensure that audit firms are capable of obtaining capable workforce and are able to allocate
of years wherein auditors are entrusted to be in charge of audit work and affix signature in giving opinions on behalf of the audit firms. Such amendment will allow capable and knowledgeable auditors
capital management; (4) be able to show that its human resource will be prompt and adequate with a view to responsibility for venture capital management consideration on which shall be based on the company
capital management; (4) be able to show that its human resource will be prompt and adequate with a view to responsibility for venture capital management consideration on which shall be based on the company
human resource will be prompt and adequate with a view to responsibility for investment advisory service. Where the applicant for securities business license in the category of investment advisory service
and the audit committee view that the transactions are reasonable and could enhance competitiveness and generate recurring income for the company in a continuing basis. However, the independent