) Secretary-General Office of the Securities and Exchange Commission . Original proposed guideline Comment/question From company The SEC Office’s comment Backup and IT Contingency Plan. Preparing readiness in
application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility Certificate is received from the SFC. The SEC
services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action
be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action. Clause 8 An intermediary shall
, the bidding price proposed by the underwriter shall not be calculated with the other prices of other bidders for discovery of offering price; (b) the amount of securities which the securities
the Securities and Exchange Commission; (8) “ closing time of normal trading session ” means the closing time for derivatives trading in the afternoon session of the derivatives exchange. Clause 2 This
Company or a subsidiary materially but the assessment whereof cannot be quantified in numbers, and (3) any lawsuit that is not caused by normal business undertaking of the Company or a subsidiary
brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom
the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information
quantified in numbers, and (3) any lawsuit that is not caused by normal business undertaking of the Company or its subsidiary. Disclosure of any lawsuit that is part of the normal business undertaking is not