of clients’ assets. In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice guidelines. The rules or
providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness
beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The
standards of conduct, especially the executives who oversee compliance of business operators in accordance with the law, standards and ethics of business operation, to build investors’ confidence
perhaps contradictory regulations between jurisdictions is also an issue that should be monitored so that no regulatory vacuum is allowed to develop (i.e. issues slipping through in which no authority has
prescribe the standard for the management of retail funds , accredited investor funds , mutual funds for institutional investors , and private funds to ensure that the management companies oversee and manage
companies oversee and manage such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a
supporting and evidentiary documents signed by a person who meets the signatory requirements. 3. Who can issue marketing materials in respect of Hong Kong Covered Funds? Will these marketing materials need