Microsoft Word - S_2019_GRC-02_025_S43 Share Acquisition_EN Page 1 – Translation – GRC-02/2019/025 11 December 2019 Subject: Report of the Asset Acquisition To: President The Stock Exchange of
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
securities trading center by virtue of such laws and governed by government agencies or securities regulators (regulated exchange); “Allotted quota” means quota of foreign securities or derivatives investment
Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
debt securities, highlight the riskiness of securities on the cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt
cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt securities are listed and/or admitted to trading, or are
. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt securities are listed and/or admitted to trading, or are intended to be listed or admitted
Kong and the ongoing supervision of SFC-authorised funds. As a statutory body, the SFC’s regulatory objectives and functions are defined and governed by the Securities and Futures Ordinance. The SFC’s
and selling investment products through different channels. • Check and keep transaction records to confirm they are accurate and genuine. • Use a licensed/regulated financial service provider