Covered Management Company must be subject to ongoing regulation and supervision by the SFC. 3 Physical gold invested by such gold ETFs must possess a standard and fineness recognized by the London Bullion
Management Company in the courts of Hong Kong. 4 Physical gold invested by such gold ETFs must possess a standard and fineness recognized by the London Bullion Market Association. 54/F, One Island East, 18
must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must
approved by the Office must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without
with investors, subject to approval of the Office, to sell investment units or to solicit customers or to prepare investment plans for customers. Any person so approved by the Office must possess
broker does not possess mentioned information or documentation above within three years from the date this notification become effective. As added by the SEC Office Notification No. Kor Thor 13/2549 Re
customers who Derivatives broker does not possess mentioned information or documentation above within three years from the date this notification become effective. 18As amended by the SEC Office Notification
customers who Derivatives broker does not possess mentioned information or documentation above within three years from the date this notification become effective. 18As amended by the SEC Office Notification
specify the opinion of the board of directors stating that the investors under Clause 7(1) have related businesses that will benefit the listed company, or possess knowledge or experience that will benefit
Capital Market 6 ______________________ Clause 15 The auditor in the capital market shall not possess any prohibited characteristics as follows: (1) being put under receivership by the court’s order; or