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- Under Main Board Rule 3A.19 (GEM Rule 6A.19), an issuer must retain a compliance adviser to assist its compliance with the Listing Rules and all other applicable laws and regulations commencing on its listing and until the publication of its financial results for the first full financial year after listing.
www.hkex.com.hk/-/media/HKEX-Market/Listing/Rules-and-Guidance/Archive/Guidance-Letters/GL67_13.pdfGuidance on the compliance adviser requirement for newly listed issuers - HKEX
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2020年8月10日 · The guide assists directors, company secretaries, compliance advisers and in-house counsel of Hong Kong listed companies with regulatory compliance. The new edition has been updated to provide a summary of the key Listing Rule requirements for listed companies in Hong Kong.
2017年5月24日 · The FA circular clarifies that the scope of any mandate for financial advisers should be sufficiently wide to enable a financial adviser to comply with the CFA Code. In the past, the SFC has observed that market practice has been to scope mandates narrowly.
2017年12月13日 · If financial advisers are engaged in regulated activities, they should further consider if the scope of the mandate is sufficient to enable them to discharge their obligations and to comply with the requirements set out in the CFA Code, as appropriate.
Who needs to comply with the “fit and proper” guidelines. 2.1 The Fit and Proper Guidelines apply to a number of persons including the following: an individual who applies for licence or is licensed under Part V of the. SFO; a licensed representative who applies for approval or is approved as a responsible officer under Part V of the SFO;
According to Rule 3.28 of the Listing Rules, our Company must appoint an individual, who, by virtue of his/her academic or professional qualifications or relevant experience, is, in the opinion of the Stock Exchange, capable of discharging the functions of company secretary.
2022年1月26日 · As a firm must be eligible to act as a sponsor in order to carry out compliance adviser work pursuant to section 2 of the Sponsor Guidelines, individuals engaging in compliance adviser work are also required to pass the relevant examination.
