liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the
· Understanding of, and practical experience with, engagements of a similar nature and complexity through appropriate training and participation · Understanding of professional standards and applicable legal and
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
the People's Republic of China and Thailand We would like to bring your attention to the Memorandum of Understanding between the Government of the Hong Kong Special Administrative Region of the
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “ control ” means control as determined
company shall proceed as 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
Concerning Futures and Options Trading 3.1 Understanding Terms and Conditions of Derivatives Contract Since derivatives trading carries a high degree of risk, therefore, prior to making investment decisions
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as