; · Regarding the disclosure requirements imposed on Covered Funds including, for example, preparation of prospectus and annual report of mutual funds, etc., and the regulations related to sales conduct, HK-TH
Appendix B of HK-TH MRF MoU; - Regarding the disclosure requirements imposed on Covered Funds including, for example, preparation of prospectus and annual report of mutual funds, etc., and the regulations
period was over; (2) I was subject to the civil fine imposed by the Civil Sanction Committee with the written notice, and it has not yet surpassed the period specified by the SEC Office (the maximum period
operations of take-home orders, following the prevention and control measures imposed by the government agencies. On May 17th, 2020, the Company gradually resumed part of the dessert cafe operations when the
for approval with the SEC Office unless the cause for such suspension imposed by the Ethical Standards Committee was the same as the cause for suspension or revocation of the approval 2 Amended by the
affected by According to the Labor Protection Act (No. 7) , BE 2562, additional compensation rates have been imposed in the event that employers terminate employment for employees who have worked for 20
same matter under this Chapter, and the Stock Exchange or the derivatives exchange has already imposed a penalty on such persons in accordance with their respective regulations, the SEC Office may not
management record as follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation
follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation or higher more than