Commission, to inform or provide information, or gives false or misleading explanation or information to its derivative agent, the Derivatives Exchange, the Clearing House or the Office of Securities and
prior to the date the branch office starts its operation, it must not appear that the securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an
prior to the date the branch office starts its operation, it must not appear that the securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an
securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an efficient complaint handling system for the settlement of dispute, such as act in
operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification
operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification
twelve months prior to the date the branch office starts its operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance
) Filing - Minimum requirements under section 69 – 70 of the SEA. Minimum requirements under section 69 – 70 of the SEA. Complete, sufficient and not misleading. Factsheet form - Required. Required. Required
tender offer are correct, complete, not misleading to the users of the information, and that no information could affect the decisions of the securities holders of the undisclosed business. Appraising the
invest, and not misleading in substance Other qualifications Summary of important criteria in relation to the issuing and offering of shares Request for approval Disclosure of information Subscription