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
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
transfer orders from the unitholders. (5) In the case of fund dissolution, the mutual fund management company shall transfer the units to other RMFs without charging any fees. (6) In the case that the
transfer orders from the unitholders. (5) In the case of fund dissolution, the mutual fund management company shall transfer the units to other RMFs without charging any fees. (6) In the case that the
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing 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
2019 whereby clients will no longer be able to purchase, sell or trade digital assets via Bitcoin website ( SEC News No. 105/2019 ) SEC warns BX clients to keep away from unsolicited transfer of
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
. 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