Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the
Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds (Section 3 Private Fund Management) Circular Letter No. SEC (Wor) 24/2552 Re: Clarification for Understanding of
Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds (Section 3 Private Fund Management) Circular Letter No. SEC (Wor) 24/2552 Re: Clarification for Understanding of
, Appendix B – I – SFC Circular , and AppendixB – II – SEC Circular . About HK-TH MRF (infographics) Further Information on HK-TH MRF Regulatory Summary List of Non
MoU , Appendix B – I – SFC Circular , and AppendixB – II – SEC Circular . About HK-TH MRF (infographics) Further Information on HK-TH MRF Regulatory Summary
MoU , Appendix B – I – SFC Circular , and AppendixB – II – SEC Circular . About HK-TH MRF (infographics) Further Information on HK-TH MRF Regulatory Summary
roles and responsibilities of the chairman and the CEO, or equivalent position, according to the aforesaid Notification. In addition, the SEC issued a circular letter to all financial advisors and listed
roles and responsibilities of the chairman and the CEO, or equivalent position, according to the aforesaid Notification. In addition, the SEC issued a circular letter to all financial advisors and listed
the prescribed form. 7. Not being in default om principal or interests of any debt securities or in default on a loan payment. 8. Within two years prior to the filing of the application for an approval
. Transactions on principal assets/with related persons Acquisition/disposal of principal assets Transaction size (X) in propotion to total asset value Execution of transactions small X < 10% at