duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement, appointment, dismissal and discipline for personnel and employees

Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the

____________________________________________ 4) Is the Hong Kong Covered Fund a sub-fund of an authorised CIS? Yes No If “Yes”, please state the name of the authorised CIS

: ......................... Sub-district: ................. District: ...................... Province: .................. Telephone: ................................................... Facsimile

business ; (b) financial institution established under a specific law; (c) any financial institution other than those specified in sub clauses (a) and (b), which is a financial institution under the law on

institution established under a specific law; (c) any financial institution other than those specified in sub clauses (a) and (b), which is a financial institution under the law on loan interests of financial

Institutions Development Fund; (q) juristic persons in which any persons specified under sub clause (a) to (p) hold shares in an aggregate of more than 75% of the total number of voting shares; (r) foreign

business operator or derivatives business operator under sub-paragraph (1) and by a holding company under sub-paragraph (2) shall include those held in all levels by subsidiary companies of such juristic

, investors or capital market, the SEC Office may determine to submit thereof within the business day when such matter has been occurred; (b) in case of matters other than sub clause (a), the SEC Office shall

as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a