Securities Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in complex fund sale system accordance with the
offering of complex and risky financial tools and services now requires investors to complete an assessment test to confirm understanding of the products or services, as well as ensuring analytical reports
Consideration of Rules Concerning Issuance and Offering of Derivatives, Structured Notes and Complex Products, Chairman of Disciplinary Committee on Capital Market Personnel and Working Group for Consideration of
political unrest in Hong Kong and the United States, the "gilets jaunes" (yellow vests) movement in France and the on-going trade tensions between the United States, China and Europe, each of which could
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as