categorized by issues 2022 3 Action on financial statements of listed companies 2022 4 Action on approved persons 2022 5 Aggregate complaints data 2022 6 Investigations classified by types of offences
dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve the dispute by the
securities business, or the dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve
, reserving or terminating a client’s rights over assets , without or not complying with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not
with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not use clients’ assets for the benefit of another client, other persons, or itself
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of
Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I