Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated: September 2019 2 Contents 1. Introduction 3 2. Definition 4 3. Guidance on ACMF Pass Framework 3.1 ACMF Pass overview 5 3.2 Permitted activities 6 3.3 Application process 9 3.4 On-going obligation 9 3.5 Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval proc...
investment mandates. Asset owners should be better equipped to evaluate asset managers, and asset managers should be better informed, enabling them to tailor their services to meet asset owners’ requirements
holding an equivalent position or higher, who is in charge of financial advisory functions fails to meet the conditions set forth under (3) (4) (a) (b) or (c) of Paragraph 1 or (5)(a) or (c) of Paragraph 1
securities which meet the conditions under Clause 8 and Clause 11(2)(b). Clause 8 An offer for sale of securities made in the following manners shall be exempt from filing of the registration statement and
technologies and processes; and (x) Green buildings which meet regional, national or internationally recognised standards or certifications. 4.1.6 For clarification, fossil fuel power generation projects are
markets shall meet the following rules: (1) comply with rules set forth in Clause 7(1), or (2) if not passing the examination on course specified in Clause 7(1), having attended a full course relating to
SUBSIDIES SEC Classification : ใชภ้ายใน (Internal) ANALYST FOLLOWING • He & Tian (2013): Analysts make a firm forego valuable long-term investments to meet short-term targets. • Lee & Mo (2020): Earnings
adequacy of firm’s procedures? 2 For firms without designated Ethics Partner, does the principal meet regularly to discuss ethics and document their discussions? 3 Does the firm have documented policies and
Ethics Partner, does the principal meet regularly to discuss ethics and document their discussions? 3 Does the firm have documented policies and procedures appropriate to the size and nature of the firm? 4
(“Notification Tor Nor. 87/2558”). Given that MRF-eligible Hong Kong Master Funds, which meet the requirements set out in the SEC Circular, are generally considered as having complied in substance with As of June