purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
): ______________________________________________________ 2) Home Economy: _________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Legal Character of ARFP Passport Fund
applicable):_______________________________________________________ 2) Legal character of Hong Kong Covered Fund: __________________________________ 3) Type of Hong Kong Covered Fund: (more than one answer is
accuracy of orders, and can be examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with in the
funds or clients under its management (cross trade), the transaction shall: (1) be proper for character, investment policy and the necessity for investment of the funds or clients , which the securities
” means any mutual fund which has specified in its scheme the actual real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and
has specified in its scheme the real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and management of property funds; (8
between or amongst funds or clients under its management (cross trade), the transaction shall: (1) be proper for character, investment policy and the necessity for investment of the funds or clients , which
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
same day, the reporter shall specify the total amount of securities and derivatives that each purchaser or transferee acquired. If the name of the purchaser or the transferee is unknown, the reporter