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By accessing and using this website, you agree to be bound by the terms and conditions of the website. Users of this website should note that information and materials contained in this website are subject to a disclaimer of liability and disclosures of conflicts of interest or potential conflicts of interest in compliance with applicable laws and regulations.
Users are also advised that information and materials on websites or webpages that are hyperlinked or referenced to herein are neither investigated nor analysed by Shenwan Hongyuan Group. No warranty or representation, either express or implied, is given herein by Shenwan Hongyuan Group as to the accuracy or completeness of such information and materials. Shenwan Hongyuan Research (H.K.) Limited does not warrant the accuracy, adequacy, completeness, or timeliness of any information, materials, products, or services contained in this website, or the error-free and uninterrupted use of this website. Shenwan Hongyuan Research (H.K.) Limited and any person providing information to this website shall be entitled to be indemnified by the user of this website in respect of any loss, liability or cost (including legal cost) resulting from or in any way connected with such user’s breach of these terms and conditions or improper use of this website and/or its contents.
This website exercises copyright and other intellectual property rights protection and uses of this website shall not reproduce, distribute or publish for any purpose without the prior express written consent of Shenwan Hongyuan Group or its licensors. Trademarks, service marks and logos appearing on this website are the property of Shenwan Hongyuan Group or its licensors, and Shenwan Hongyuan Group and/or its licensors expressly reserve any rights they may have under applicable laws and regulations.
Information on this website shall not be used to compile a stock index or conduct index-based trading on any stock market or in securities quoted or traded on any stock exchange; or to establish, maintain or provide or to assist in establishing, maintaining or providing a trading floor or dealing service where either trading in securities listed on a stock exchange or of a type capable of being so listed, or any other securities relating to such securities, is undertaken otherwise than at or through a stock exchange.
You are advised to read Shenwan Hongyuan Research (H.K.) Limited's policy on Chinese Walls, confidential and inside information, and conflicts of interest (the “Policy”) as set out herein. This Policy provides minimum standards within Shenwan Hongyuan Research (H.K.) Limited to ensure that clients' and Shenwan Hongyuan Research (H.K.) Limited's data is properly dealt with and that clients are treated fairly in accordance with applicable laws and regulations.
Shenwan Hongyuan Research (H.K.) Limited endeavours to make effort to ensure that its employees understand the general ethical standards and adhere to comply with all applicable laws and regulations.
2. Chinese Walls
Shenwan Hongyuan Research (H.K.) Limited has established policies, procedures and arrangements, including physical arrangements, (collectively "Chinese Walls") designed to manage and safekeep confidential and inside information and prevent unauthorized spread and misuse of such information.
Chinese Walls function as a tool to separate areas that have access to inside information ("Insider Areas") from those who do not have such access ("Public Areas"). In other words, they are designed to serve as an effective system of functional barriers to prevent the inappropriate or unauthorized communication of information that may be confidential or price sensitive between one business activity and another business activity. Chinese Walls are also designed as a means of managing conflicts of interest.
The Policy on Chinese Walls prohibits employees in an Insider Area from communicating any confidential or inside information to employees in Public Areas, subject to limited exceptions approved by Shenwan Hongyuan Research (H.K.) Limited.
The policy also ensures that employees of Shenwan Hongyuan Research (H.K.) Limited within a Chinese Wall have a responsibility to ensure the Chinese Wall is not breached deliberately or inadvertently. Any reported breaches of the Chinese Walls will be dealt with as soon as reasonably practicable by Shenwan Hongyuan Research (H.K.) Limited.
The establishment of Chinese Walls does not suggest or imply free circulation of materials, confidential and inside information within Insider Areas. Circulation of such is on a 'need-to-know' basis.
Information of listed issuers is only considered public when it is made public either by the listed issuers or by a third party having the authority to do so.
2.2 Permanent Insiders
Certain employees of Shenwan Hongyuan Research (H.K.) Limited have by their function access to information from departments that are separated by Chinese Walls. In other words, they are considered as 'above the wall'. Another group of employees have the ability to transcend the Chinese Walls by their roles. Both groups of employees are referred to as "Permanent Insiders". Shenwan Hongyuan Research (H.K.) Limited will keep the number of Permanent Insiders to a minimum, document the list of Permanent Insiders and review the list from time to time and as necessary.
Permanent Insiders are restricted to carry out personal investment activities that accurately reflect their enhanced access to inside information. Permanent Insiders also bear the responsibility to ensure that inside information is not spread from Insider Areas to Public Areas.
3. Confidential Information
Shenwan Hongyuan Research (H.K.) Limited have policy to ensure that all employees understand that they should treat confidential information as confidential and exercise due care when accessing, using, handling, storing and disposing of confidential information whether obtained from those with whom Shenwan Hongyuan Research (H.K.) Limited does business or from within Shenwan Hongyuan Research (H.K.) Limited. All such information is restricted for use for its intended purpose and must not be used for any other use or benefit.
Confidential information must be circulated on a strict 'need-to-know' basis and for a specified purpose only. Disclosure of confidential information is strictly prohibited and unless for the purpose of complying with applicable laws and regulations.
4. Inside Information
All policies regarding confidential information above apply also to Inside Information.
Shenwan Hongyuan Research (H.K.) Limited will ensure that employees handle Inside Information properly. This includes informing relevant departments of their receipt of inside information and erecting Chinese Walls where employees have regular access to inside information.
Where Chinese Walls arrangements are in place employees working within an Insider Area are prohibited from communicating any Confidential or Inside Information to employees in Public Areas without the prior approval of their local Compliance Officer.
Many jurisdictions prohibit insider trading and arrangement of trades in securities with Inside Information. Shenwan Hongyuan Research (H.K.) Limited will ensure that policies and/or procedures are in place designed to monitor insider trading or improper trading based on inside information. Furthermore, employees are explained to avoid passing along any inside information expressly or by way of making a recommendation for the purchase or sale of such securities based upon inside information. Both prohibitions reflect local laws and regulations on these topics.
5. Conflicts of Interest
Shenwan Hongyuan Research (H.K.) Limited will ensure that its employees will avoid acting or giving the appearance of acting in the presence of a conflict of interest. When a conflict of interest does exist, the employee shall report such conflict and keep it in record. Employees of Shenwan Hongyuan Research (H.K.) Limited also have a duty to ensure that Shenwan Hongyuan Research (H.K.) Limited should not unfairly place its interests above those of its Clients.
Terms & Conditions
The contents of this website are for general informational purposes only and may contain basic information concerning individual financial products, asset management products or related services. No contents of this website shall be or can be construed as an offer to sell securities or as investment advice of any kind. Queries regarding the contents of this website should be addressed to the relevant individual business units and/or subsidiaries, including but not limited to Shenwan Hongyuan Research (H.K.) Limited, of Shenwan Hongyuan (H.K.) Limited (collectively the "Shenwan Hongyuan Group").
You acknowledge that, by accessing this website and the materials and information contained herein, you have read, understand, accept and agree to be bound by the terms and conditions that follow.
2. Linked Internet Sites
Shenwan Hongyuan Group comprises various subsidiaries (each, a "Subsidiary"). A number of the Subsidiaries are operating under their own brand names and have their own webpages which provide information about their products and services. Reference to the Subsidiary's webpages, other websites and their respective hyperlinks may be available in this website.
Users of this website are advised that information on any hyperlinked or referenced webpages or websites are neither investigated nor analysed by Shenwan Hongyuan Group. No warranty or representation, either express or implied, is given by Shenwan Hongyuan Group as to the accuracy, adequacy, timeliness or completeness of that information. Shenwan Hongyuan Group and/or its directors, officers, employees, representatives or advisors shall have no liability whatsoever with regard to the information contained in the Subsidiary’s webpages or any other hyperlinked or referenced webpages or websites.
A hyperlink on this website to another site is meant for convenience and information purpose only. Shenwan Hongyuan Group does not endorse, approve or assume any obligation or responsibility as to the contents of such hyperlinked site. You shall take your own risk when assessing or using any other internet sites linked to or from this website, and you agree to be bound by the proprietary guidelines set forth at any such internet sites. Shenwan Hongyuan Group may terminate any hyperlinks or references made on this website at any time without prior notice to you.
3. No Liability
While Shenwan Hongyuan Group endeavours to use reasonable efforts to include accurate and up-to-date information on this website and uninterrupted service of this website, errors or omissions, whether manually or otherwise, sometimes occur.
Shenwan Hongyuan Group expressly disclaim any liability, whether in contract, tort, strict liability or otherwise, for any direct, indirect, incidental, consequential, punitive or special damages arising out of or in any way connected with your access to or use of this website, and/or any other websites or webpages hyperlinked or referenced herein, whether or not Shenwan Hongyuan Group is aware of the possibility of such damages.
Users of this website are solely responsible for evaluating the accuracy, completeness or usefulness of any information or content available on this website and any hyperlinked or referenced websites or webpages.
All information and materials contained in this website, including but not limited to graphics, text and hyperlinks to other sites, are furnished "as is" and are subject to change in any time without prior notice. No warranty of any kind, either express or implied, including but not limited to the warranties of non-infringement, security, accuracy, merchantability, fitness for a particular purpose, or freedom from computer virus is given in conjunction with such information and materials.
The contents and information contained in this website are the properties of Shenwan Hongyuan Group or its licensors and are protected by copyright or other intellectual property rights. Users of this website are prohibited from modifying, copying, distributing, transmitting, displaying, publishing, selling, licensing, creating derivative works, reengineering or using any site content for any other purposes than that of this site, unless with express prior written consent of Shenwan Hongyuan Group or its licensors.
5. Trademarks and Logos
Shenwan Hongyuan Group or its licensors own the trademarks and logos (the "Trademarks") appearing on this website and/or any other Subsidiaries’ webpages. Users of this website are strictly prohibited from using any of the Trademarks without the prior written consent of Shenwan Hongyuan Group or its licensors. Nothing on this website should be construed as granting of any license or right to anyone to use any of the Trademarks.