licensed firm Give advice Retail investors Licensed & regulated by Home regulator ACMF pass holder Fast-track approval Give advice Non-Retail investors Attachment is subject to host’s Laws and Regulation
are a variety of ways for issuers to obtain external input to their green, social, sustainability and sustainability- linked bonds process and there are several levels and types of review that can be
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
or public limited company. Prior to any offering, the issuers shall obtain approval from the Office of the Securities and Exchange Commission (“the SEC Office”), and the registration statement and
CMSL holder must obtain approval from the SC for registration of a Recognised Representative before the eligible professional can commence conducting the regulated activities. Cessation of activities
well as the individual face value of each type of debt securities offered or listed. 3. Provide information about the form of the security, such as whether investors can obtain physical certificates or
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
the characteristics specified in the governing rules. For example: - The Hong Kong Covered Management Company is regulated by the Securities and Futures Commission of Hong Kong (SFC), which is the home
representation of the debt securities holders, as well as where the investors may obtain access to the contract. Indicate whether the issuer is required to make periodic disclosure such as disclose the evidence
debt securities offered or listed. 3. Provide information about the form of the security, such as whether investors can obtain physical certificates or whether their interests will be recorded via a book