● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full name of the investment consultant. ● Name of Securities/derivatives intermediary or the
assets, and other assets of essentially the same nature; Loan participations; Loan assignments; Credit derivatives for non-hedging purposes i.e. protection seller CDS; Please note that this is a non
i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As
i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As
acts as a Central Centerparty (CCP) for the buyer and the seller, and will guarantee clearing and settlement in all trading transactions which have occured. If one of the counterparties does not perform
acts as a Central Centerparty (CCP) for the buyer and the seller, and will guarantee clearing and settlement in all trading transactions which have occured. If one of the counterparties does not perform
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities