an intermediary under receivership by court order for the benefit of managing the clearing and settlement of derivatives or securities of clients , and for the management of clients’ assets having no

you are in any doubt, you should consult your local intermediary, local representative, or CIS operator. The copy of this registration statement has been registered with the Office of Securities and

collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult your local intermediary, local

foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult your local intermediary, local

work for such persons to have full or partial managing power in the securities company.

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true

company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the

notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the

. Clause 20 If any of the following circumstance arises and constitutes a reasonable doubt, the Office may not grant the approval on the establishment of the fund: (1) the fund filed for the approval on the