prohibited period to be major shareholder clause 4 (4)(5)(6)(7)(8) or (9) of the Notification of the Ministry of Finance minimal moderate intense one year three years five years clause 4 (10) of the
initial margin is minimal when compared to the value of derivatives contract. Keeping this in mind when there is a significant change in market price of the future contract investor can make large amount of
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
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
, derivatives broker shall arrange to have a procedure to ensure that customer is aware of the risks in derivatives trading, by having at least a document containing risk disclosure statement which have minimal
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
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
one category, the time of training shall be calculated in continuation of the time of the category which the duty to attend the training course due earliest. Clause 17. Applications for authorization
) segregate access control roles, e.g., access request, access authorization, and access administration; (3) at a minimum, identify the networks and network services which are allowed to be accessed and