fair shareholding structure; Directors, executives and major shareholders do not have conflict of interests or there are adequate measures to manage conflicts of interest; There is no reason to doubt
. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board
information to restructure the contribution in such conditions as may be beneficial to the executives. The purchase date must be clearly specified in order to avoid any doubt whether internal information is
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important information which might affect the qualifications of the company is concealed
faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As of October 2020) Related Rules and Regulations Inbound
i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As