securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
The SEC organized a video clip public contest themed, “Spot the Scammers, Be Cautious Before Investing”,” during 1 – 29 February 2024. The entries were video productions in relation to fraudulent
and Exchange Commission concerning the Determination of Fees for the Submission of the Registration Statement, Registration and Other Applications. Chapter 2 Registration Statement __________________
shall continue to be the language used for all subsequent submissions no matter if other languages are used additionally except when the SEC Office grants a waiver for reason of necessity or
to the SEC Office under this Notification [according to Paragraph 1(1)], such language shall be used for all subsequent submissions unless the SEC Office grants a waiver whenever it is necessary or
Entries and Contents of the Trust Instrument of Infrastructure Trusts
Determination of Fees for Filing of Registration Statement, Registration and Other Applications (No. 4)
Determination of Fees for Filing of Registration Statement, Registration and Other Applications (No. 36)