minor shall obtain a consent from the rightful representative before executing any legal acts and any acts executed by a minor without such consent shall be voidable unless regulated otherwise, etc

violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction

be voidable unless regulated otherwise, etc.;    (2)  Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1

awareness of the importance of cybersecurity plan, work system stability and data protection. Co-organized by the SEC and the regulated entities, the cyber drill activities were conducted by experts from the

 means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license

believes that this Statement of Intent will aid the public and all capital market stakeholders to understand the SEC’s role and operations, and promote confident participants of the capital market. 2. Vision

cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt securities are listed and/or admitted to trading, or are

debt securities, highlight the riskiness of securities on the cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt

governance.”  Ms Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “SEC gives high priority to personal data protection and urges all SEC’s regulated entities as well as related parties to be

Management Company of the Hong Kong Covered Fund must also remain licensed by or registered with the SFC for Type 9 regulated activity (asset management). Both the Hong Kong Covered Fund and its Hong Kong