This Conflicts of Interests Management and Chinese Wall Policy (English Version Only) contains 10 pages This is particularly relevant to fund managers or assets managers that have diversified business model or will carry out more than one type of SFC regulated activities for them to ensure compliance with the Hong Kong SFC Fund Manager Code of Conduct on handling and addressing potential conflicts of interests
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LIST OF CONTENTS
Introduction
1. Detecting and identifying potential conflicts of interest
2. Preventing conflicts of interest
3. Research
4. Chinese Wall Policy
5. Gifts and Benefits
6. Personal / staff account trading
7. Possession of material non-public information and confidential information
8. Outside business activities and investments in service providers
9. Periodic Review
10. Training
11. Keeping a conflicts of interest register
Appendix – Conflicts of Interests Register
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