: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
price, dates and time of the offering for sale or conditions on the offering for sale of units. 2 “principal asset” means principal asset in which REIT is able to invest under rules as prescribed in the
procurement of benefit 3. Market overview of the business of procuring benefits from REIT’s assets 4. Risk factors 5. Legal disputes 6. Other relevant information Part 3: REIT Supervision and Management 7
Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please specify
Governance ● Revision of Rules on Approval for Public Offering of Shares and Information Disclosure by Focusing on Good Corporate Governance CONTENTS APPEN SCE_Eng_p.1-16 10/29/04, 1:05 AM2 3 ● Supervision of
: ________________________________________ 12) Home Regulator of the CIS Operator: ________________________________________ 13) Address of principal place of business: _______________________________________
.: _____________________________ Fax No.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior
relations. The SFC is the principal regulator of the securities and futures market in Hong Kong and the primary authority for regulating retail funds offered to the public in Hong Kong. The role of the SFC is
PowerPoint Presentation Summary of The Securities and Exchange Act (No. 6) B.E. 2562 The SEA (No. 6) consists of 6 topics 2/10 Supervision of securities business Supervision of mutual fund management