-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in
-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front- office function) should be clearly separated from the unit which has duties in
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided
is a leading engineering company in water project and environmental project. Supreme Enterprise is under the Supreme Group which operates in various industry such as power, energy. trading and Bio
) “investor contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided into two categories: Category A Investor
result of reduced the credit line of the loan, the Company deposit those unrestricted bank account to invest in trading securities that provide better returns than bank deposits. Total Liabilities The
regulator, and is not currently under suspension or revocation of its licence; - The Hong Kong Covered Fund under HK-TH MRF is offered for sale to the public in Hong Kong and is not currently under trading
securities; (8) a company whose securities are traded in a securities trading center; (9) a trust under the Law on Trust for Transactions in the Capital Market. Clause 4 This Notification shall not apply in