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
professional standards and/or regulation, such as accounting firms, accredited verifiers, and regulated credit rating agencies, while others are not. At a high level, all firms providing external reviews should
Identify the law applicable to the debt securities being publicly offered and/or listed. II. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on
enforcement mechanism on foreign Professionals who are regulated by more than one regulator and the impact of enforcement actions on foreign Professionals undertaken by one regulator to the other regulator (s
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
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
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
cash flow (“DCF”) and Guideline public company method (“GPCM”) when determine the fairness of valuation is reasonable to be between 1 : 5.44 and 1 : 5.92 (details as shown in attachment 1), therefore
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
)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