Documents / email/messages related to the application and services Advertising/solicitation documents or trading documents ​Contract, trading order, confirmation note, etc. 3 Suspicion of fraud or

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

director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) ​   Q: What level of suspicion and severity of

director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) ​   Q: What level of suspicion and severity of

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

director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.)​​ Q: What level of suspicion and severity of

director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.)​​ Q: What level of suspicion and severity 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