derivative position of the client in cases where transferring to another intermediary cannot be done; (2) The official receiver shall take any action other than those prescribed in (1) for the purpose of
infrastructures or real estates or real estate development businesses. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN
analysis in securities through mass media shall seek an approval from the securities company in advance. In this regard, the securities company shall set out the rules which requires a written authorization
information security incident management without delay; (3) put in place a disciplinary process to take action against any employee who has committed an IT security breach. Additional Guidelines 1. The examples
Fund and the SFC agreed to expedite the authorization process of a Hong Kong Feeder Fund investing in a Thai Master Fund. The feeder fund which seeks to be offered for sale to the public in the
opinion on the exercise of voting rights to the provident fund committee, or ask for the authorization from the provident fund committee to vote on behalf of the provident fund. Notified this 11th day of
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of
Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors