been completed. Currently, the Court has been ordered to stamp the two lawsuits and scheduled to examine the testimony of the defendants for both cases by August 2017. 2. Cases with Final Judgment

related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the

monitor and examine post- trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the trading system; (6) arranging disclosure of

documents as prescribed by the SEC. In this regard, the applicant may examine the list of the required documents for the SEC’s consideration in Form 35 – HK-TH MRF: Checklist for Mutual Recognition of Funds

provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would

online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would be a person with

accordance with the form and procedure provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the

receiving the application together with the accurate and complete evidentiary documentation according to the Licensing Manual for the Public, the SEC Office shall examine the facts according to the procedures

responsible for handling of complaints and disputes; (3) monitor and examine handling of complaints and disputes, and inform complainants or disputants of the results of consideration of the complaints or

cases where a client wishes to use services relating to each type of the risky or complex capital market products for the first time, an intermediary shall examine the client’s investment knowledge in