. Insider trading is prohibited and other types of self-dealing and conflicts of interest are regulated. The SEC actively monitors the market for abusive practices. Institutional investors regularly vote
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
stakeholders Theme Momentum What is the business preparedness by way of its systems, targets and practices relative to these key disruption themes and sector materiality? Business Systems & Practices 2. Business
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
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
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
(“Comply or Explain” basis) on its company’s website and in its annual reports (if any). Institutional Investors who are regulated by the SEC, such as Asset Managers, are required to notify the SEC
stakeholders’ confidence in the way we conduct our business. The Company therefore would like to invite its shareholders to propose agenda topics for the 2018 Annual General Meeting of Shareholders (AGM) in
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
Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market