condition of such relationship including the characteristics of business relationship. Clarifications on the said matters should include a comprehensive flowchart of the overall business structure of the
branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest
objective of providing venture capital to a startup business, and consisting of accredited investors only. “ investor having specific characteristics ” means an investor having specific characteristics in
; · Regarding the disclosure requirements imposed on Covered Funds including, for example, preparation of prospectus and annual report of mutual funds, etc., and the regulations related to sales conduct, HK-TH
Derivatives Broker dated 25 November 2004. Clause 3 In the Notification: (1) “derivatives business license type Sor-1” means a license to undertake derivatives business in various categories consisting of (a
by the Office. 2. Scope of activities The scope of activities must relate to the skills and knowledge useful for performance of duties as investor contact including: 2.1 Business-related knowledge e.g
businesses of the majority shareholder materially, the Company should explain the structure or condition of such relationship including the characteristics of business linkage. Clarifications on the said
” means a license to undertake derivatives business in various categories consisting of: (a) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
DIVISION 1 SECURITIES AND EXCHANGE COMMISSION SECTION 8.4 A Securities and Exchange Commission hereby referred to as the "SEC" shall be established, comprising the Chairman appointed by the Cabinet upon