.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of

, Operating Systems and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013. Clause 3 3 The regulations detailed in this Notification are stipulated for

fund of which the returns calculation is made in a complicated way (complex return fund); (d) investment units of a mutual fund of which the fund's net exposure in commodities is made through its

_____________________________________________________________________ 5. I/We affirm that the Hong Kong Covered Fund, as detailed in Part A of this application form, and the Hong Kong Covered Management Company, as detailed in Part B, is completely in compliance with

trading by minimum disclosure of the following information: (1) information relating to the financial status, credibility and scope of the derivatives dealer ’s business; (2) detailed information pertaining

promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting

complaints arising from the performance of duties of its employees. Clause 4. Unless otherwise specified, the Office shall have power to issue the Notification prescribing detailed rules relating to the

regard, the detailed feature of the certificate thereof shall be described in the report. Clause 6 In case of necessity where an offeror would not be able to submit the report as prescribed in this

, duties and responsibilities of the unit where a person is located; (d) detailed work practices of each person and the unit where the person is located, as well as work practices in coordinating with other

methods and channels for communication, a list of relevant persons either inside or outside companies, responsible persons and communication, including clear detailed information for disclosure to relevant