years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important information which might affect the qualifications of the company is concealed
information to restructure the contribution in such conditions as may be beneficial to the executives. The purchase date must be clearly specified in order to avoid any doubt whether internal information is
: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities/derivatives Statement report Confirmation note Transfer form Other documents such as a copy of share
, the mutual fund management companies must complete the transactions within five business days from the date of accepting transfer orders from the unitholders. (5) In the case of fund dissolution, the
, the mutual fund management companies must complete the transactions within five business days from the date of accepting transfer orders from the unitholders. (5) In the case of fund dissolution, the
fair shareholding structure; Directors, executives and major shareholders do not have conflict of interests or there are adequate measures to manage conflicts of interest; There is no reason to doubt
website ( SEC News No. 105/2019 ) SEC warns BX clients to keep away from unsolicited transfer of funds or digital assets via fake websites or Facebook accounts ( SEC News No. 106/2019 ) Q & A
-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 2020) Related Rules and Regulations Inbound
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
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