deemed final. Clause 4 When a customer files a complaint to the SEC Office which sends the complaint to a securities company, the securities company shall solve the problem prescribed in the complaint
related to Offering for Sale of Units of Foreign Collective Investment Schemes and the Notifications of the Office of the Securities and Exchange Commission, guidelines, orders and circulars issued or
Offering for Sale of Units of Foreign Collective Investment Scheme dated 17 January 2018, the SEC Office hereby issues the following regulations: Clause 1 The following Notifications shall be repealed: (1
technology risks; (2) monitor and analyze potential risks to computer systems relating to trading services with respect to derivatives by recording and maintaining usage information and log files. Chapter 4
fund supervisors No. Nor Jor. ( Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the
fund supervisors No. Nor Jor. ( Wor) 6/ 2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the
without a doubt. Clause 18 In taking the actions under Clause 16 and Clause 17, a derivatives clearing house shall examine and ensure that its staff strictly complies with the applicable notifications and
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
establishment and management of a mutual fund specified in the Notifications of the Securities and Exchange Commission, the Notifications of the Capital Market Supervisory Board and the Notifications of the