must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
there are adequate measures to manage conflicts of interest; There is no reason to doubt that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders
can be submitted to the SEC before the filing the original application for approval 4. Submit activity reports on wealth advisory operation (particularly item 4.1) to the SEC, so that the SEC can use to
the SET 5. Other criteria Criteria for authorizing IPO The past five years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important
establishment, market development had concentrated more on the secondary market where trading of transferable securities was the main activity than the budding primary market where businesses issued securities
in the Corruption Risk Management Systems Assessment 2023 and higher score in the Integrity and Transparency Assessment 2024 see more > Activity see more > 07/08/2024 SEC joins a wreath-laying ceremony
i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As
. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As of October