suitability for investment and the relevant risk exposure. If you are in any doubt as to the action you should take, you should consult your legal, financial, tax, or other professional adviser. A copy of this
. Effective enforcement would increase investor confidence and reduce regulator’s costs in relation to examination for the evidence to prove beyond a reasonable doubt. 3. Class action lawsuits would lower the
ethics and due diligence guidelines on securities issuers applying for public offering. To strengthen enforcement efficiency, the SEC furthered its support for legislation of civil penalty and class action
but are merely indications. For the avoidance of doubt, the eligible fund types of Thai Covered Funds classified by Thai laws and regulations are defined in Annex C to this circular. 3 For the avoidance
derivative position of the client in cases where transferring to another intermediary cannot be done; (2) The official receiver shall take any action other than those prescribed in (1) for the purpose of
derivative position of the client in cases where transferring to another intermediary cannot be done; (2) The official receiver shall take any action other than those prescribed in (1) for the purpose of
; and (c) to take appropriate enforcement action against a Covered Entity. 7. To facilitate cooperation under this MoU, the Authorities have designated contact points as set out in Appendix A. Paragraph 3
PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
to investors in both jurisdictions in terms of the form which that notice takes6. 20. For avoidance of doubt, changes that render the Hong Kong Covered Fund ineligible under this MRF (for example – the
promoting savoir faire and creativity 1 For the avoidance of doubt, excluding any non-‘Chanel’ brand subsidiaries, including Château Canon, Domaine de l’Ile, Eres, Orlebar Brown, Rauzan Segla and St. Supéry