must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must
aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and
able to work accurately as per their duties and create no risk which may render the intermediaries to infringe or not comply with laws, rules and standards relating to such business operations. For
, responsibility, or nature of operation may create conflicts of interest. At least, it shall separate the work units and personnel responsible for contacting, soliciting, or giving advice on securities investment
Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2) -------------------------------- By virtue of the Section 126(1) of the
nature of operation may create conflict of interest, at least it shall separate the units and personnel who contact, solicit, or advise on securities investment to clients from the units and personnel who
· Understanding of, and practical experience with, engagements of a similar nature and complexity through appropriate training and participation · Understanding of professional standards and applicable legal and
Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange
the People's Republic of China and Thailand We would like to bring your attention to the Memorandum of Understanding between the Government of the Hong Kong Special Administrative Region of the
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining