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

reporting for many industries continues to be a challenge and will take time as the market develops. In the early stages, the criteria developed need to be simple and transparent enough to bring both issuers

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

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

ambitious than a simple box-ticking approach. Benefitting from the perspectives of securities regulators, stock exchanges, self-regulatory organisations, institutes of directors, the media and the private

)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