efficient investment guidelines [house view] by incorporating the participation of fund manager , investment analyst or supervisor of the investment line of work . In this regard, such guidelines shall be
clearly understands such investment or transaction; (3) give advice to the client with balanced view [i] composing of characteristics, strong points, limitations, returns, and possible risks of risky or
less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification
knowledgeable and competent persons. 9. Supporting staff in developing knowledge, skills and abilities required to perform the assigned tasks including the evaluation of such knowledge and skills. The development
repealed. Clause 2 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to capital market. “ approved person ” means a person who is
the firm promote tax structures or products or provide tax advice - what kind of advice? How does it ensure that there is no doubt as to the related accounting treatment regarding the true and fair view
, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business
MoU aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset management companies (“AMCs”) competitiveness in the international arena while
regulations: Clause 1 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to