related Cooperation (“HK-TH MRF MoU”) on 20 January 2021. To ensure that business operators have the same understanding of the requirements under HK-TH MRF MoU, the SEC hereby would like to clarify the
which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an exemption from the requirement of independent
operator or derivatives business operator which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an
. Clause 3. The derivatives broker shall not trade derivatives contract or any other contracts with the same characteristics as derivatives contract for their proprietary account, unless such derivatives
company’s board of directors. Clause 3. The derivatives broker shall not trade derivatives contract or any other contracts with the same characteristics as derivatives contract for their proprietary account
prepared in writing with an approval from the company’s board of directors. Clause 3. The derivatives broker shall not trade derivatives contract or any other contracts with the same characteristics as
who may have conflicts of interest,” “major shareholder” and “controlling person” according to the first paragraph (2) shall, mutatis mutandis, have the same meaning as defined in the Notification of
, have the same meaning as defined in the Notification of the Securities and Exchange Commission governing definition in the notifications relating to issuance and offering of securities issued by virtue
be disclosed. Subsequent filings of the documents under the first paragraph shall always be prepared in the same language as that used in the first filing except in the cases where it is necessary and