their fund purchases and sales. g Investor returns are not a substitute for total returns but can be used in combination with total returns. Source: Morningstar Direct, Data as of 30 October 2015 Mind the
constitutes a reasonable doubt, the Office may not grant the approval on the establishment of the fund: (1) the fund filed for the approval on the establishment has features or form that are in accordance with
constitutes a reasonable doubt, the Office may not grant the approval on the establishment of the fund: (1) the fund filed for the approval on the establishment has features or form that are in accordance with
. Clause 20 If any of the following circumstance arises and constitutes a reasonable doubt, the Office may not grant the approval on the establishment of the fund: (1) the fund filed for the approval on the
unable to attend the sessions, the firms should track their absence and require that they attend the substitute course or study the recorded version of the sessions. This is to ensure that the personnel
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