purpose of considering ability of a client to perform in respect of servicing agreement, an intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding
perform in respect of servicing agreement, an intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding services with such ability of the client . In case
is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to
” means any person licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for
. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to
agreement recognized by the SEC Office; (c) having repayment period of the transaction not exceeding ninety days; (d) value of securities received from repurchase transaction as of the commencing date of
securities company (No. 2) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities
: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors
regulations: Clause 1 This Notification shall come into force as from 1 January 2015, except the following Clauses: (1) Clause 12(4), which is related to arrangement of agreement between clients and derivatives
Institutional Investors ; 6.2 using standardized agreement recognized by the SEC Office; 6.3 having repayment period of the transaction not exceeding ninety days; 6.4 value of securities received from repurchase