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
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
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
for a Public Offering of Digital Assets to the Offering of Digital Assets with Specific Characteristics dated July 7, 2018 (Effective Date of June 16, 2018) The Notification of the Securities and
Details Regarding the Services with Specific Features Provided by Securities and Derivatives Business Operators (No.3) The Notification of the Office of the Securities and Exchange Commission No. SorThor. 2
Acceptance and Continuance of Client Relationships and Specific Engagements Engagement Performance Resources Information and Communicatio n Monitoring and Remediation Proces Regulatory Summary of
accounting period, and must specified name as “ Mutual Fund Investing in Infrastructure fund". 2. In case of a sector fund, the name of the fund shall reflect the specific sectors on which the fund intends to