of the collecting of personal data. Right to access: You have the right to access or obtain a copy of your personal data, and to request the disclosure of the source of your personal data. Right to
the SEC Office. Clause 4 2 Subject to Clause 5 and Clause 6, person eligible to obtain the SEC Office’s approval to be major shareholder of securities company shall not have the following
Concerning Futures and Options Trading 3.1 Understanding Terms and Conditions of Derivatives Contract Since derivatives trading carries a high degree of risk, therefore, prior to making investment decisions
and not misleading. Clause 15. To protect the interest of investors with regards to the information presented to them, the Office may order the securities company under Clause 14 to obtain prior
the Hong Kong Covered Fund under HK-TH MRF shall be deemed an auditor approved by the SEC without the need to obtain approval. 1.9 Requirements for offerings of Hong Kong Covered Funds - Before offering
, 247 of the Securities and Exchange Act; The number of voting rights that the waiver will obtain after acquiring the securities and will gain in addition in the future without triggering the obligation
, 247 of the Securities and Exchange Act; The number of voting rights that the waiver will obtain after acquiring the securities and will gain in addition in the future without triggering the obligation
or public limited company. Prior to any offering, the issuers shall obtain approval from the Office of the Securities and Exchange Commission (“the SEC Office”), and the registration statement and
. Clause 23 A mutual fund management company shall not commit by itself, connive at, or agree with another person to commit any act which causes a unitholder to obtain benefits as if a redemption payment was
to render opinions on entering into disposal of asset transactions and connected transactions to the Company’s shareholders. 3) Hold shareholders’ meeting to obtain approval to enter into disposal of