margin loans and the loans to any particular client to ensure greater caution; (3) To establish a concentration ratio for the securities used as collateral by each customer, ensuring it does not exceed
investors should exercise caution when using services from unlicensed digital asset businesses as they will not be protected under the law and may be exposed to risks of frauds and scams as well as the
percent of the total industry AUM. In all cases, asset management companies must exercise caution when considering appropriate investments. Mrs. Waratchya Srimachand, SEC Deputy Secretary-General, said
the SEC have been shut down. The SEC strongly advises the public to exercise caution when being solicited to make investment in possibly fraudulent schemes, the red flags of which are, for example
companies must consider. It is in accordance with the duties of directors and executives of the company who have to perform their fiduciary duty with caution together with the company’s risk management
increasing the speed and caution for the enforcement process as well as promoting cooperation for human resources development, sharing of knowledge and technological know-how to ensure justice in the
also empowers them to verify and make investment decisions with greater caution and safety in the modern financial landscape.” The SEC has continuously taken a proactive approach under its strategic
) HK-TH-MRF official day of the year that such solicitations occurred. List of Restricted Assets Virtual assets, i.e. digital tokens (such as digital currencies, utility tokens, investment tokens, or
process and recommending suitable investment. (Suitability) Investing in primary and secondary markets is restricted for qualified investors with knowledge, experience and high net worth who can