individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
Participants. TERMS For the purposes of the IOSCO CRA Code:5 under common control with another entity. performs analytical functions that are necessary for the issuing or monitoring of a credit rating or
specified by the SEC Office, accordingly, this Notification states the rules on sufficient disclosure of information in Clause 2 and the amount of units deemed to object the transaction in Clause 3 pertaining
. Investors should object to any trading activities that do not comply with their investment objectives and monitor regularly the ongoing record of their trading transactions sent to them by the responsible
execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed
media trends; (2) Fan token: tokenized by the fame of influencers; (3) Non-fungible token (NFT): a digital creation to declare ownership or grant of right in an object or specific right. It is
is subject to the court’s receivership order or adjudged by the court as insolvent entity; (2) the issuer is under a liquidation process for dissolution. Clause 11 An applicant would be able to offer
Kong Covered Entity or a local representative shall submit a duly signed and completed Application Form (Form 35 – HK-TH MRF) to the SEC together with supporting documents which include: As of June 2021
Regulation. Clause 2 Applicant for securities business license in the category of investment advisory service which is a legal entity under Clause 1(1) to (5) shall- (1) be able to maintain capital funds and