principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor for listing or issue manager to the offer; c. underwriter to the offer; d. legal adviser to the offer; e
[i] a juristic person established under foreign law which offers service as the exchange or over-the-counter center under the law of such country and [ii] is regulated by the government or securities
management. “foreign exchange” means [i] a juristic person established under foreign law which offers service as the exchange or over-the-counter center under the law of such country and [ii] is regulated by
service as the exchange or over-the-counter center under the law of such country and [ii] is regulated by the government or securities regulator. “market maker” means a person who is appointed to provide
that price or value of such securities and instruments may rise or fall and, in some cases, investors may lose their entire principal investment. To the extent any Credit Suisse equity research analyst
– (a) the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer
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
recognition of funds arrangement between Hong Kong and Thailand (“Thai Master Fund”). (m) “Hong Kong Management Company” means a corporation which is licensed or registered for Type 9 regulated activity (asset
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
registration statement. B. Advisers and Other Parties Provide the names and addresses of a. the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor