多选题 Limited and reasonable personal use of email and web browsing is permitted provided that: （）

A、 it is not excessive;

B、 does not involve more than minimal amounts of working time;

C、 does not incur a cost for HKEX;

D、 does not expose HKEX to legal or regulatory action;

E、 does not risk reputational damage to HKEX;

F、 does not relate to running a private business.

查看答案

由4l***yh提供分享举报纠错

相关试题

多选题 The LME Head of Regulatory Compliance or the LMEC Chief Compliance Officer, as the case may be, will report the following to, respectively, the Audit and Risk Committee or the Audit Committee (“the relevant Committee”): （）

A、 All disclosures received under this policy from LME Group staff and all actions taken in response to such disclosures.

B、 All other matters which relate to the events set out in section 4.2.1 of this policy, which come to the attention of the LME Group General Counsel and all actions taken in response to such matters.

查看答案

多选题 At the management level, HKEX Management Committee is responsible for1: （）

A、 overseeing HKEX Group's compliance with all statutory duties imposed on it under the
Relevant legislation, rules and regulations; and

B、 liaising with all regulatory authorities and organisations on all matters relating to HKEX.

查看答案

多选题 To ensure the integrity of the investigation, Group staff who have made a whistleblowing disclosure are required to: （）

A、 keep the disclosure and all information related to the disclosure confidential, regardless of whether the investigation is ongoing or concluded, but this does not impact their right to report a disclosure externally where it is a disclosure protected by law or regulation,
Including as outlined in section 4.9 of the policy;

B、 except to the extent it is part of a disclosure protected by law or regulation, keep the details of the internal investigation confidential as if they are making an external disclosure.

查看答案

多选题 In respect of each disclosure, if the whistleblower has provided a method of contact, once an appropriate course of action has been determined, the investigating party will contact the whistleblower as soon as reasonably practicable:

A、 acknowledging that the disclosure has been received;

B、 advising whether or not the matter is to be investigated further and if so what the nature of the investigation will be;

C、 informing the whistleblower who will be conducting the investigation;

D、 giving an estimate of how long the investigation will take to provide a final response and notice of any change in the timetable along with the reason for the change; and

E、 updating the whistleblower as to whether any initial enquiries have been made, the investigation’s developments, whether further investigations will take place, and if not, why not, and if appropriate the outcome of the investigation.

查看答案

多选题 When making a disclosure, Group staff must reasonably believe that such disclosure: （）

A、 evidences one or more of the events listed in section 4.2 happening in the past, happening now or likely to happen in the future.

B、 that such event compromises the reputation and standing of the HKEX Group and / or the interest of the HKEX Group’s shareholders, investors, customers and the wider public.

查看答案

多选题 For matters relating to compliance with legal and regulatory requirements, HKEX Board of
Directors’ duties, powers and functions include (but are not limited to): （）

A、Ensuring the laws, rules and regulations governing HKEX Group are complied with;

B、Overseeing all matters and to formulate policies in relation to HKEX Group’s internal
Control, businesses and risk management and corporate governance, and to supervise
HKEX Group’s management to implement such policies;

C、Interpreting and supervising compliance with those parts of HKEX Group’s rules,
Regulations and operational procedures; and

D、liaising with all regulatory authorities and organisations on all matters relating to HKEX
Group and monitoring changes in their policies relating to or affecting HKEX Group

查看答案

多选题 The purpose of this Policy is to: （）

A、 Ensure that personal account dealing does not breach insider dealing laws;

B、 Set out the obligations of HKEX Group Staff and the procedures that must be followed when trading securities, futures contracts and derivatives; and

C、 Set out the obligations of HKEX Group Staff and the procedures that must be followed when trading HKEX shares.

查看答案

多选题 This policy is designed to provide guidance to Group staff and encourage them to raise concerns1 about any of the inappropriate events in section 4.2 internally and as soon as possible. HKEX, LME and LMEC give all Group staff a commitment that it will: （）

A、 take each disclosure seriously and investigate as appropriate;

B、 make every effort to keep the identity of each whistleblower confidential; and

C、 protect each whistleblower from reprisal or victimisation, even if the disclosure turns out to be unfounded.

查看答案