supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
__________________ Clause 28 To ensure that the overall business operation of securities clearing houses and central securities depositories is supervised in an orderly, effective, and timely manner, securities
provision of services to clients shall be supervised in accordance with the work system laid out by the intermediary. Clause 26 For the communication with or providing services to a new client, an
provision of services to clients shall be supervised in accordance with the work system laid out by the intermediary. Clause 26 For the communication with or providing services to a new client, an
develop the capital market. Highlights of these effort are the workshop meeting with all sectors of market participants chaired by His Excellency the Prime Minister on May 31, 2001, and the compilation of
authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's
understanding of their roles and building their readiness for discharging duties more efficiently and effectively. Additionally, the SEC reviewed the accuracy of financial reports of listed companies, supervised
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
has arranged an efficient disclosure system to ensure that the material information on REIT has been disclosed correctly and completely, and REIT manager has supervised the compliance with such