order that the derivatives dealers perform their duties with care, prudence and in the best interest of the client. Clause 8 The derivatives dealer shall not disclose false information or conceal facts
to incorporate ESG into their business for sustainability and disclose ESG-related activities. To do so, we organise knowledge sharing sessions, provide handbooks and guidelines, and carry out
ensure that such investors would have adequate access to relevant information to better understand financial products before making well informed investment decisions.?The consultation paper is available
key sections : (1) Investment planning: Proving information on tools to assist investors to understand themselves better and plan their investments more effectively, such as tools for
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
securities which is not reveal to public and the securities known by its business operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the
an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to public and the securities known by its business
comply with applicable law and standards. Guidelines 6.1.1 The board should be aware of and understand the nature and scope of the company’s principal and substantial risks and should approve the risk
/2014 financial statements. ABC has to file with the SEC and publicly disclose the reviewed financial statements by January 16, 2015. ABC ceased its garment business operation and did not utilize its land
qualified opinions due to limitation on scope of audit imposed by the company management. EIC must submit to the SEC and publicly disclose the rectified and audited/reviewed financial statements urgently. The