supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
trust)—may be managed by entities other than asset management companies (CIS operators). These entities are, however, supervised by foreign securities regulators that are ordinary members of IOSCO
supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace
authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's
) specify operation and issue that REIT manager has monitored property manager’s operation e.g. approval consideration of REIT annual budget, revenue and expenditure control which should be correspond to
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
Having noticed that some digital asset business operators open trading accounts for minors, on 8 January 2022 the SEC disseminated the circular clarifying the guidelines for providing digital asset
The warning came after the SEC had received information from the concerned public and stakeholders who noticed that unlicensed business operators in the securities and digital asset sectors
surveillance systems reviewed, monitored, and examined, according to an examination plan specifically designed to suit the level of risks for the derivatives exchange, by an independent person with required
/News_Detail.aspx?SECID=7348 SEC advises digital asset business operators on account opening for minors Having noticed that some digital asset business operators open trading accounts for minors, on 8 January 2022