offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3. Maintenance of
limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for renewal of
for investor contacts shall be granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction
, the SEC adopted an online communication channel for the first time when organizing an educational event for stakeholders via Facebook Live, and issued relief measures to mitigate impacts of the COVID-19
. Disclosure of any lawsuit that is part of the normal business undertaking is not required such as a compulsory performance lawsuit in cases where the issuer is a financial institution. The above disclosure
overseas procurement. (In case of financial institution, specify the sources of capital and loans); (4) Assets used in business undertaking Describe the key characteristics of the core permanent assets and
. Furthermore, the SEC shared knowledge and insights on new developments related to the financial reporting preparation to promote relevant stakeholders’ up-to-date knowledge and understanding of the latest