: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.

less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification

form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008

involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance

the firm promote tax structures or products or provide tax advice - what kind of advice? How does it ensure that there is no doubt as to the related accounting treatment regarding the true and fair view

information with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from

securities business shall be paid in advance before the first day of each calendar year except for the first year of obtaining the license whereby the license fee shall be paid upon receipt of the license at

. and no later than 9.00 P.M. and shall open on holidays and during the said hours by notify to the Office in advance; (2) in any cases other than (1) the securities company shall extend its opening hours

, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business

MoU aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset management companies (“AMCs”) competitiveness in the international arena while