different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function
, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
denominated in foreign currency specifically prescribed by this Notification are different from the rules prescribed in the Notification on Standard of Business Operation , the intermediary shall comply with
by this Notification are different from the rules prescribed in the Notification on Standard of Business Operation , the intermediary shall comply with the rules prescribed in this Notification. Clause
lender or its agent , do so with an understanding that such borrowing or lending is made in accordance with any of the following purposes: (1) to enable the borrower or other persons to deliver securities
Covered Fund in Hong Kong satisfied those stipulated in Appendix B-II-SEC Circular of the Memorandum of Understanding between the Securities and Futures Commission of Hong Kong and the Securities and
group of companies that identifies the shareholding proportions and the voting rights (if different from the shareholding proportions). In case of a subsidiary formed by a joint venture agreement with