Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information. “unit” means securities in the category of shares of investment company or trust certificates of
Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information. “unit” means securities in the category of shares of investment company or trust certificates of
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
in Clause 7(1); (2) as soon as possible in case of information as prescribed in Clause 7(2). 4 Clause 11 A securities company shall supervise its personnel to comply with this Notification, and
in Clause 7(1); (2) as soon as possible in case of information as prescribed in Clause 7(2). 4 Clause 11 A securities company shall supervise its personnel to comply with this Notification, and
with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23
with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer price and: (2) In the