an order can be modified or cancelled Q3/2024 2.4 Enhance monitoring quality of securities companies • Ex., Implementing the Know Your Process (KYP) for foreign securities company clients / checking
anticipated) using recognized methodologies and frameworks, such as NZIF, SBTi and TSP for setting, assessing, reporting, and verifying performance. Set decarbonization targets for all high-emitting sectors
Unofficial translation FORM 35-E3 Letter of Request for Checking the Director and Executive Qualification (Inspection of the director and executive’s qualification on the individual’s request
comprising the systems in the following areas at a minimum: (a) system for administering and checking foreign securities to ensure that they are sufficient for the depositary receipts that have been offered
Company (or “MDP”) Transaction Date Within 30 June 2020 (in the process of confirming transaction date) Investment Party Mr. Thomas Frakes and Mrs. Cynthia Frakes are American investors and founders of MDP
transactions executed on behalf of the customer from the time when the order is taken until the transaction is completed; (2) evidence confirming derivatives trading transaction conducted by the customer
master fund to consult the SFC for the issuance of a certificate confirming that the Hong Kong master fund is an MRF- eligible master fund, which meets the eligibility requirements listed in Annex B to the