of duty performance to seek wrongful gains; (3) requiring the employees to notify the intermediary in the case where the employees and their connected persons have an account for trading capital market
guidance on how corporates and/or investors report against ESG guidelines. Several jurisdictions also have regionally specific stewardship codes. While Europe and the UK are leading the way with requiring
2 No. Question Answer (a) Form 69 – CIS full (requiring fund factsheet, prospectus, and registration statement); (b) Evidence demonstrating that Hong Kong Covered Fund is legally established under the
program for auditing difficult and complex areas, staff training limited to theoretical lectures and lack of case study on issues requiring professional judgement and professional skepticism, particularly
total transaction value exceeding THB 20,000,000 and higher than 3 percent of the net tangible asset value. Although such transactions are not considered as an asset acquisition requiring approval from a
available to pay debt securities holders; b. provision requiring the issuer to maintain certain financial ratios; c. provision that restrict the issuer from creating additional debt under certain conditions
the category of requiring the issuer to distribute the fact sheet, the securities underwriter shall circulate such document with the same material information of the registration statement in the form
mutatis mutandis, except where investors voluntarily declare their intention not to obtain such information. 10 In case of offering for sale of securities in the category of requiring the issuer to
shall be a statement requiring the securities company be responsible for such assets in full amount. Clause 8 A securities company shall not appoint any person as its agent to undertake custody of clients