instruction which is duly required to be performed. SEC Act S.300 in conjunction with 64 paragraph 2 Settlement Committee Meeting No. 6/2024 Settlement Committee Order No. 66/2024 Dated 27/08/2024

instruction which is duly required to be performed. SEC Act S.300 in conjunction with 56(1) Settlement Committee Meeting No. 8/2024 Settlement Committee Order No. 86/2024 Dated 29/10/2024

instruction or the failure to give instruction which is duly required to be performed. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No. 10/2024 Settlement Committee Order No. 110/2024

a duly required to be performed. This case is in the process of inquiry by the inquiry official. SEC Act S.300 in conjunction with 33 Criminal Complaint Filed with an Inquiry Official Dated 29/09

Kong Covered Entity or a local representative shall submit a duly signed and completed Application Form (Form 35 – HK-TH MRF) to the SEC together with supporting documents which include: As of June 2021

legislators and regulators should duly consider the need for, and the results from, effective international dialogue and co-operation. If these conditions are met, the corporate governance framework is more

. Implementation 34 5. Moving Forward 35 THE INVESTMENT GOVERNANCE CODE PRINCIPLES Principle 1 Adopt a Clear Written Investment Governance Policy 37 Principle 2 Properly Prevent and Manage Conflicts of Interest and

fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee. SEC Act S.113

company properly complies with laws and regulations within the period set forth by the Settlement Committee. SEC Act S.247 Settlement Committee Meeting No. 4/2018 Settlement Committee Order No. 17/2018

to buy and sell Filter Vision Public Company Limited (“FVC”)’s shares in a manner that manipulated FVC’s share price. This behavior constituted dishonest and unethical conduct, and failed to properly