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
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
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
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
benefits. Insightful: Ability to comprehend all relevant aspects of issues in their entirety, including causes and factors affecting the capital market, in order to respond appropriately. Collaborative
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
draft prospectus, including other documents and evidence with the Office; (2) to review and comprehend the information regarding the issuer of securities and other relevant information and take actions to
Changes in Computer Systems relating to Trading Services with respect to Derivatives __________________ Clause 27 To ensure that the overall business operation of a derivatives exchange is supervised in an
to our 2021 target of US$287M (US$195M extra efficiency gains over 2020) Overview This time last year the world was just beginning to comprehend the unprecedented nature of COVID-19 and the