operate and be managed in accordance with the relevant laws and regulations in Hong Kong and its constitutive documents; (d) the sale and distribution of units/shares of the Hong Kong Covered Fund in
out policy and supervised the SEC Office’s overall operation and implementation of the SEC Strategic Plan in line with the CMDMP and according to the set timeframe. In doing so, the SEC Board also gave
played out against a backdrop of weakening economies of our trade partners worldwide, which in turn posed potential risks to recovery of the world economy. The global financial crisis that took off in the
of investor’s wealth creation and the fund raising of issuers. SEC supervised the intermediary and has collection of annual fees at the current rate for some time.SEC, therefore, has a plan to revise
following Divisions and Departments: 2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General
as well as licensees which cease business operations.For financial institutions supervised by other lead regulators and licensed to operate securities or derivatives businesses, such as commercial
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