Board No. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017.** Investment Consultant for Complex Products Type 2 is allowed to provide investment
companies would be allowed to conduct PP offerings to institutional investors (II), ultra-high net worth investors (UHNW), and high net worth investors (HNW), provided that the number of offerees does not
. Yadapat Chinkrajangkit. The SEC investigation of the evidence has revealed that during September 2014 ? August 2016 the aforesaid persons jointly acted or conspired with or allowed or rendered assistance
Office. In providing services under the first paragraph, the online branch office is not allowed to give an advice concerning securities investment to customer. The securities company shall arrange to have
online branch office is not allowed to give an advice concerning securities investment to customer. The securities company shall arrange to have a clearly statement that the securities company is not
the notification of the Office. In providing services under the first paragraph, the online branch office is not allowed to give an advice concerning derivatives contract or suitability of trading in
electronic equipment; (4) undertake any other necessary duties as prescribed by the notification of the Office. In providing services under the first paragraph, the online branch office is not allowed to give
the format provided on the SEC website. 1.8 Auditor An authorised auditor under the Hong Kong Law who is allowed to audit and affix signature to express an opinion on the audited financial statements of