of financial statements and more accurately reflect the business model and business risks.The revision of financial statement forms, including related documents will cover revision of business
has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain
groups more efficiently, and procedures for clearer communication between selling agents and investors. The relevant regulations cover four key areas, namely: (1) the organizational structure, the roles
taken into account the important role of PF and DF marketing agents in soliciting investors to use investment management services of such funds. They cover key areas such as (1) the criteria for granting
appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness
fixed details, that cover several issues such as personnel’s well-preparedness, investment management, reception and delivery of funds’ assets and risk management.SEC has studied the supervision in
details, that cover several issues such as personnel readiness, investment management, receiving and delivery of funds’ assets and risk management.SEC has studied the supervision in other countries and
related regulations have already been put in place, and will expand the scope of the related regulations to cover both inbound and outbound unit offerings in support of the HK-TH MRF project. The
limitations. As a result of this proposed amendment, the Regulatory Sandbox would cover both pre-trading and post-trading activities in the capital market. The consultation paper is available at https
underwritten by them. The permission will cover either trading to hedge derivatives positions that underwriters already have or trading of shares in SET50 or SET100 subject to certain conditions. In addition