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
securities company may complies with other guideline, if the securities company demonstrate to the Office that such other guideline is capable of efficiently preventing risk in information technology of the
complies with other guideline, if the securities company demonstrate to the Office that such other guideline is capable of efficiently preventing risk in information technology of the securities company with
hypothesis used as reference, demonstrate that such hypothesis is reasonable and identify any risk that may affect the estimated returns or the operating results. Information related to an estimate of returns
securities to the directors or employees for which the approved company has applied to the SEC Office for a waiver of the after-approval conditions, if the approved company is able to demonstrate that it meets
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
) being able to demonstrate that such person is acknowledgeable and capable person in valuing the asset for widely used appraisal. In this regard, such person must have signed appraisal report as the
The SEC Office shall be empowered to grant a waiver for disclosure of information under this Notification, provided that the securities issuer can demonstrate to the SEC Office that [I] such information
cessation of offerings in cases other than in connection with a merger or termination of a Hong Kong Covered Fund, the Hong Kong Covered Entity shall demonstrate to the satisfaction of the SEC that proper
effective engagement letter: 1. Demonstrate your knowledge of the company. Show that you have done your homework and understand the company’s business model and how a particular risk or issue relates to the