the SET ​​​ 5. Other criteria Criteria for authorizing IPO The past five years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important

เว็ปไซตของ ICMA เปนฉบับทางการของคาํแปลฉบับนี ้เอกสารฉบับนี้เปนคําแปลฉบับไมเปนทางการและจัดทําขึน้เพือ่เปนขอมูลอางอิงประกอบเทานั้น For the avoidance of doubt, the English language version of the

by the intermediary . Clause 10 In case of doubt whether or not the assets segregated and managed by the SEC Office are clients’ assets , the SEC Office shall settle such assets with the official

by the intermediary. Clause 10 In case of doubt whether or not the assets segregated and managed by the SEC Office are clients’ assets, the SEC Office shall settle such assets with the official

by the intermediary. Clause 10 In case of doubt whether or not the assets segregated and managed by the SEC Office are clients’ assets, the SEC Office shall settle such assets with the official

to verify the transactions. This raised doubt whether such transactions were executed as truly intended by the clients. In addition, a certain share transfer from a client account was found to be

transactions with such clients without calling the original number or pursuing any other means to verify the transactions. This raised doubt whether such transactions were executed as truly intended by the

to investors in both jurisdictions in terms of the form which that notice takes6. 20. For avoidance of doubt, changes that render the Hong Kong Covered Fund ineligible under this MRF (for example – the

avoidance of doubt, this Paragraph 5 does not apply to the notification of non-public information for any Enforcement Purposes in the jurisdiction of the Authority receiving the information, which will be

i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues.  (As