as metal scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall
mutual fund does not demonstrate that the SEC Office has certified the accuracy of the information in the prospectus or the price or return of the investment units offered for sale.” (2) A warning in case
under an employment agreement and receives salary, wage, or any other form of benefit. In the case that the context does not indicate otherwise, the term shall also include a life insurance agent of the
shall not be applied to any specific event falling within 1. to 6. which obtains an exemption from the Office, provided that the company is able to demonstrate that there are sufficient measures to ensure
extending the MRF to include other types of funds in future in accordance with the Memorandum. 8. The Hong Kong Covered Entity that is seeking SEC approval must indicate to the SEC the fund type within which
acceptance of non-audit services that could be addressed through adequate consultations and proper documentation of judgments to demonstrate clearly that before providing such services, the firms had
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
the business of the other party but not in the manner under (1), the party that manages fund shall submit documentary evidence to the Office to demonstrate that: (a) One party has the power to control