/ disclosure while possessing inside information Presumtion on persons, who trade securities or enter into a derivatives contract in a different manner from their normal practice while know or possessing
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
): .................................................................................................................................................................................... Wish to apply for Company Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a 30-day expiry from the SEC Office’s approval date
) ………………………………………………………………………………………………………………………………………………….… ………………………………………………………………………………………………………………………………………………….… Wish to express an intention to apply for an SEC Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a seven-day expiry from the SEC
) ………………………………………………………………………………………………………………………………………………….… ………………………………………………………………………………………………………………………………………………….… Wish to express an intention to apply for an SEC Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a seven-day expiry from the SEC
): .................................................................................................................................................................................... Wish to apply for Company Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a 30-day expiry from the SEC Office’s approval date
necessary documents in support of the application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility
application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility Certificate is received from the SFC. The SEC
necessary documents in support of the application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility
providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness