specifically to investment unit and debt instrument having high-risk or complex characteristics; (c) complex instrument investment consultant type 3 is able to provide consultation on capital market product
, objectives and operational procedure clearly, thoroughly and obviously; (2) determining [i] organizational structure and [ii] roles, powers, duties and responsibilities of directors, executives and other
concealment of facts that should have been notified explicitly in material matter that may affect the decision making of the shareholders, investors or connected persons; 3. unfair treatment or exploitation of
credit ratings. Except for a credit rating that clearly indicates it does not entail ongoing surveillance, once a credit rating is published, the CRA should monitor the credit rating on an ongoing basis by
cover at least the following managements and systems: (1) determining strategies, policies, objectives and operational procedure clearly, thoroughly and obviously; (2)3 determining organization structure
clearly, thoroughly and obviously; (2)3 determining organization structure, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having
– that our business operations take human rights into consideration. We also monitor suppliers’ business undertakings to ensure strict compliance with the Supplier Code of Conduct, explicitly showing that