The Approval of Personnel in the Capital Market Business
AGENCIES INTRODUCTION In 1 The IOSCO CRA Principles were designed to be a useful tool for securities regulators, credit rating operate and the manner in which opinions of CRAs should be used by market
exchange rate designated by the host country for this purpose, if any: (a) at the latest practicable date; (b) the highest and lowest exchange rates for each month during the previous six months; and (c) for
Capital Market Supervisory Board or the Office of Securities and Exchange Commission have suggested investment in the offered securities; nor contain any assurance in relation to the value or returns on the
) Is the Hong Kong Covered Fund offered to the general public in Hong Kong? Yes No If “Yes”, please provide the following details: a) AUM as at the latest practicable date
following details: a) AUM as at the latest practicable date: ______________________________________ b) The investment objective/policy of the fund
made a firm commitment to act as intermediary for the debt securities in secondary market trading, such as market maker providing liquidity through bid and offer rates, disclose the name and address of
Determination regarding Types of Transactions in Capital Market Allowed to Use Form of Trust (No. 3)
Determination of Type of Transactions in Capital Market Eligible for Trust Creation