punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
_____________________________________________________________________ 3. I/We have not had any record of violation of the laws or regulations of Hong Kong in matters relating to the disclosure of material information to the investors of the Hong Kong Covered Fund or
Name of Hong Kong Covered Fund: _____________________________________________ Name of Hong Kong Covered Management Company: ___________________________________________________________________________
Summary of Rules on Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People’s Republic of China and Thailand (HK-TH MRF) 1. Offerings for sale of Hong Kong Covered
the fund establishment have been covered by the media. It is therefore important to clarify that approval for any securities offering or fund establishment will be certain only when the applicants
People's Republic of China and Thailand With reference to the Memorandum of Understanding concerning Mutual Recognition of Covered Funds and Covered Management Companies and related Cooperation (HK-TH MRF
offering of funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand With reference to the Memorandum of Understanding concerning Mutual Recognition of Covered
themselves against investment scams. The lecture covered various topics, including Three Key Factors of Value Investing (Principal, Return, and Time), the “Three Knows” (Know Oneself, Know Others, and Know Own