violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
and selling investment products through different channels. • Check and keep transaction records to confirm they are accurate and genuine. • Use a licensed/regulated financial service provider
)Direct firms become more tied and sensitive to Bitcoin. Implications Stock market: more regulated and protected Crypto market: scams and frauds The stock market offers a somewhat safer opportunity to
debt securities, highlight the riskiness of securities on the cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt
cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt securities are listed and/or admitted to trading, or are
. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt securities are listed and/or admitted to trading, or are intended to be listed or admitted
many Asian companies is the presence of a large and controlling shareholder. Listed companies are typically controlled by a shareholder owning the majority of the company‟s shares, either state-related
Management Company of the Hong Kong Covered Fund must also remain licensed by or registered with the SFC for Type 9 regulated activity (asset management). Both the Hong Kong Covered Fund and its Hong Kong
January 2016. Clause 4 In case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of