to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and
the services provided by the SEC Office in which you may be interested so as to effectively perform its duties and supervision. In this regard, the SEC Office will request your prior consent to receive
from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and supervising the
: Declaration I/We certify the following: 1. I/We am/are under supervision of the Securities and Futures Commission of Hong Kong which has the authority to impose sanctions or to order the Hong Kong Covered
control system in respect of giving advice, and investment supervision and control system of the investment advisory company, persons with power of management and advisors; (2)5 providing a compliance
) Provide an effective operating system to support the operation in accordance with the standard of the Association concerning with the supervision in securities trade of management company’s staff; (2
supervision in securities trade of management company’s staff; (2) Supervision and inspection management company’s staffs comply with standard under (1) and; (3) Prescription of disciplinary to punish staffs
behavior that, if considered on a reasonable ground, indicates failure to discharge properly the duty to supervise a juristic person or a company under its management, or any personnel under its supervision
company shall perform as follows: (1) Provide an effective operating system to support the operation in accordance with the standard of the Association concerning with the supervision in securities trade of