, the criteria and method for such classification shall be described as well; (b) rights, benefits and returns the unitholders will receive, including the policy on dividend payment. In case of
function will be ready. Such personnel shall have knowledge, abilities and experiences suitable for the assigned tasks and shall have understanding of general laws related to the professional. The approved
of the unit responsible for assets custody function will be ready. Such personnel shall have knowledge, abilities and experiences suitable for the assigned tasks and shall have understanding of general
) will change shareholding structure and cause failure to maintain the said status, if intending to continue undertaking securities business as licensed, such licensee shall file the application for giving
30 days from the approval date. The SEC Office will consider the registration of Company Account in a normal case (no expiry) in due course). Wish to apply for change of information in Company
rules: (1) the company’s total number of shares sold shall include shares other than underlying shares which will be offered for sale together with newly issued warrants applied for approval (if any); (2
With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their
order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business
restructured before any merger and acquisition. In the case of investments in shares of public limited companies, the filing of the registration statement and draft prospectus will be exempted. In the case of
Funds under HK-TH MRF in Thailand (Inbound) 1.1 Applicant The Hong Kong Covered Management Company or its local representative1 shall file an application for an offering for sale of the Hong Kong Covered