investors should understand, minimise and manage the conflicts of interest that they face and behave ethically, ensuring that they maintain focus on advancing beneficiary or client interests and disclosing
following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or
following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or
reviewed to be more consistent with the current market landscape. This will benefit further development of international cooperation to be more comprehensive and efficient.
that time which was not consistent with the normal market conditions. Additionally, she continuously traded RICH shared which results in the purchase or sale of such securities which was not consistent
time which was not consistent with the normal market conditions. Additionally, she continuously traded RICH shared which results in the purchase or sale of such securities which was not consistent with
appropriately and sufficiently in line with the number of clients and the transaction volume; 2) Rectifying the client acceptance policy to be consistent with the work systems capable of providing services
the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to
operating system with a view to applying the same and consistent standards to all types of business operators. In addition, the rules will be revised to be more appropriate. The consultation paper is
permeate all aspects of the company’s operations, ensuring that its vision, mission and objectives are ethically sound and demonstrative of its values. Codes should be effectively communicated and integrated