fair shareholding structure; Directors, executives and major shareholders do not have conflict of interests or there are adequate measures to manage conflicts of interest; There is no reason to doubt
information to restructure the contribution in such conditions as may be beneficial to the executives. The purchase date must be clearly specified in order to avoid any doubt whether internal information is
: Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking Securities Business License in the Category of Investment Advisory Service B.E. 2545 By virtue of
years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important information which might affect the qualifications of the company is concealed
dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5. Mutual fund management 6. Private fund management
-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As of October 2020) Related Rules and Regulations Inbound
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
securities borrowing and lending business under Clause 1 means providing service, in normal course of business, to general public with a view to effectuating securities borrowing and lending, regardless of
of financial planning to really and to put into practice . In parallel, we support service providers of financial planning accessible by the general public. Furthermore, we encourage uses of FinTech