admitted that the client, at the beginning, had authorized him to make securities and derivatives trading decisions on her behalf. Also, the recorded conversation found later indicated that the client
organizing a unitholders’ meeting or through a letter seeking the unitholders’ resolution. As an alternative, asset management companies are allowed to seek a unitholders’ resolution if the unitholders
products denominated foreign currencies. The revised regulations will allow business operators to provide services in foreign currency denominated products as permitted under their licenses. In addition
1.6 Ongoing disclosure of financial position and performance information The Hong Kong Covered Management Company is required to prepare and submit a report on financial position and performance results
; (3) “Commercial bank” means any commercial bank under the law on commercial banking and any juristic person established under foreign laws which is permitted by such laws to undertake commercial
derivatives broker under the law on derivatives; (3) “Commercial bank” means any commercial bank under the law on commercial banking and any juristic person established under foreign laws which is permitted by
for purchasing shares of a company higher than actual value causing damage to POWER. Additionally, he permitted others to falsify entries in the accounts and documents of POWER. On March 30, 2015, the
: Category A investor contact referring to investor contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze
regulations, under which LiVEx-listed companies would be permitted to conduct PP offerings of newly issued shares and CDs. The key aspects of the proposal are summarized as follows: (1) LiVEx-listed