_____________________________________________________________________ 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

investors as follows: “Prior to making an investment decision, investors should carefully exercise their own judgment when considering detailed information relating to the issuer and the terms of the

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

Contacts to enhance their skills and knowledge. In amending the rules for the renewal of approval, the Office adds more categories of skill enhancing activities to include in-house training courses which

Notification is to prevent risks associated with the operations of derivatives brokers and the trading and settlement system of derivatives exchange as well as to enhance operational efficiency of market makers

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