, securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the category of derivatives agent or derivatives dealer; Repealed 3 ; “Notification on Standard of
in the category of inter-dealer brokerage; (3) a securities company in the category venture capital management; (4) a derivatives intermediary in the category of derivatives advisory; (5) a person
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
. Division 1/1 Specific Regulations on Providing Services of Derivatives Dealer Clause 12/1 An intermediary shall shall arrange a procedure for ensuring that a client can access the information and risks
. The Company does not have any asset disposition transaction from its operation in the past 6 months. The company is obliged to provide a report and disclose the information memorandum with respect to
form and enclosed all relevant documents in support of this application. Part A: Hong Kong Covered Fund Information 1) Name of Hong Kong Covered Fund: __________________________________________ Class (if
. Part A: Hong Kong Covered Fund Information 1) Name of Hong Kong Covered Fund: __________________________________________ Class (if applicable):_______________________________________________________ 2
The Securities and Exchange Commission (SEC), represented by Mrs. Anothai Pinyowiwat, Director of the Information Technology Department, gave a welcome speech to lecturers and students from the