as well. For example, for investment or encumbrance creation of mutual funds or private funds, it shall consider a process in settlement or delivery which may affect to an overall market system. For a

necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office

statement for futures trading that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk

changes in the shareholding structure, management or business operation or any other important events (for example, merger and acquisition) during the past three years, if any. 1.3 Shareholding structure In

laws are domestic legislations or foreign legislations, : O Yes (please specify) For example, the date of accusation or prosecution ………………………. Being accused or charged of.………………………...………… Under law

disclosure of financial information as categorized by business units, the income structure of the most recent year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35

....................................................................................................................................................... ....................................................................................................................................................... ....................................................................................................................................................... ( - Specify the key features of the securit...

condition that the person giving advice does not receive a fee or a reward, either directly or indirectly, for such giving an opinion or sharing knowledge or experience, for example, not receiving a share of

of the subcontracted cloud provider on information security aspect which are comparable to those of the cloud provider or meet the international standards; (c) monitoring, evaluation, and review of the

; · Regarding the disclosure requirements imposed on Covered Funds including, for example, preparation of prospectus and annual report of mutual funds, etc., and the regulations related to sales conduct, HK-TH