guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the
and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as guidelines for investors to understand and monitor future business directions of
clearly define the roles and responsibilities of management and monitor management’s proper performance of its duties. * The board should demonstrate a thorough understanding of the division of board and
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
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
course of business and at arm’s length. This issue usually arises in an audit firm that has a separate purchasing function from the audit department but lacks proper procedures to notify the right persons
the credit rating process CRAs should endeavour to issue opinions that help reduce the asymmetry of information among borrowers, lenders and other market participants; Independence and conflicts of
investors? awareness in helping monitor our capital market and facilitate legal actions against any persons taking advantages of others. Key criteria of the regulations include methods for giving information
monitor investee companies responsibly for clients? best interest. Declaration of voluntary compliance with the I Code is expected for launch in 2017 and the disclosure of information based on the I Code
such information publicly and promptly because financial statements are material information for investors and shareholders to make well-informed investment decisions and monitor company operation.?