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
, as appropriate. Principle 7.5 The board should ensure the establishment of a dedicated Investor Relations function responsible for regular, effective and fair communication with shareholders and
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
will be capable of regular monitoring the quality of audit work performed by such auditor, which resembles the international supervisory framework. The audit quality control regulatory shall be performed
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
and from overseas ; (4.3) An event that prevents the mutual fund from receiving payments from the invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund
and from overseas ; (4.3) An event that prevents the mutual fund from receiving payments from the invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund
-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
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