promising that the loss shall not be more than the rate already specified, except for a 4 representation or warranty given in accordance with the rules, conditions and procedures as specified by the
shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining
the duty as an ASEAN Investment Analyst or ASEAN Investment Consultant, subject to the type of personnel he/she wish to perform. 2. The Professional shall be person who does not possess the prohibited
, the SEC deems it necessary for the audit firms to be self-reliant, which always starts with an adequate supply of competent audit staff who possess thorough understanding of both accounting and auditing
results should be used for ensuring that the directors collectively possess the right combination of knowledge, skills, and experience. Principle 3.8 The board should ensure that the board and each
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