technology (IT governance), and implementation of appropriate risk management and resource allocation by their board of directors and executives that is practical and meets the standards established by an
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
and be complied with in light of their specific circumstances. 38. The SEC may issue other circulars, frequently asked questions and other documents from time to time to provide practical guidance to
resource allocation by their board of directors and executives that is practical and meets the standards established by an international organization concerning capital market supervision is crucial and
implementation of appropriate risk management and resource allocation by their board of directors and executives that is practical and meets the standards established by an international organization concerning
resource together to seek compensation so as to reduce the prohibitive cost of litigation for each individual investor whose damage value may not be sufficient or practical to seek compensation on his/her
to shareholders, warrant holders and investors ● Supervised listed companies, securities companies and asset management companies including persons in direct contact with investors to ensure their
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