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
and fund raisers, enhanced competitiveness of the Thai business and vibrant trading activities in the long run. 3. Streamlined cross-border transactions would encourage innovations of products and
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
to align their Sustainability Bonds with both the SBG and the SLBP. For the avoidance of doubt, such an approach remains at the discretion of issuers and is neither recommended nor discouraged. 3 https
. 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 of October
to be less informative or even uninformative. However, there has been doubt about whether expanded audit reports with KAMs are really informative to investors. Contributions This study provided the