the companies will be able to return the money to the clients whenever they ask for, while the agreement on custody of client assets must not contain any provisions denying or limiting the companies
Notification of the Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a
Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
acts under the provisions of this Act or other laws. In exercising the power and duty of the Office under the first paragraph, the Office shall have the power to: (1) own, possess, hold any proprietary
compensation at a rate of not less than that of the last 400 days. This change is considered a post-employment benefits plan amendment and the Company and its subsidiary has additional liabilities for provisions
Supervisory Board No. Tor Nor. 42/2564 Re: Additional Provisions for Establishment and Management of Mutual Funds under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the
: * Not subject to the provisions on public offering of securities under Chapter 3 of the Securities and Exchange Act B.E. 2535 (1992).
recently been issued. Essentially, an equity issuing company is required to comply with the following provisions: (1) the equity to be allocated to various persons must be segregated clearly based on the