Examples of SFC Code of Conduct in a sentence
For example, the Hong Kong SFC Code of Conduct prescribes a Quiet Period of 40 days following pricing for IPOs and 10 days following pricing for secondary-market deals if CLSA has acted as a sponsor, manager, or underwriter of the deal(s).
An Options Exchange Participant shall, upon the request of the Exchange or any designated HKEX staff disclose (or where appropriate, cause its clients to disclose) to the Exchange or such designated HKEX staff, all information regarding the identity of a client about which the Options Exchange Participant is required to be satisfied on reasonable grounds in accordance with the SFC Code of Conduct and the Client Identity Guidance Note, within such period as is specified in the Client Identity Guidance Note.
Code of Conduct for Persons Licensed by or Registered with the SFC (Code of Conduct).
Investment managers of all OFCs are also expected to observe applicable requirements under the SFC Code of Conduct and Fund Manager Code of Conduct.
The subbase shall be installed to 300mm depth and compacted in 150mm layers to 100% SPD.