therefore he is required to make margin deposit with a derivatives agent to secure his/her performance under the options similar to the case of futures trading. With an unfavourable movement in the market
documents as prescribed by the SEC. In this regard, the applicant may examine the list of the required documents for the SEC’s consideration in Form 35 – HK-TH MRF: Checklist for Mutual Recognition of Funds
the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information
According to the SEC inspection findings, Asia Wealth Securities Company Limited had failed to maintain the minimum net capital (NC) as required by the SEC regulations since 14 November 2022 and
causes a movement or change in the client’s assets under custody of such securities company or in cases under the second paragraph. In cases where it appears that a client does not have any transaction
last business day of each month to the client within the fifth business day of the following month, except the month where no transaction causes a movement or change in the client’s assets under custody
position to be as required by the rules, and receives the permission from the Office to expand their business operation For the purpose of the first paragraph hereof, “Expansion of operation” means: (1
specified under Clause 4, until such custodian can regain its financial position to be as required by the rules, and receives the permission from the Office to expand their business operation For the purpose
Pursuant to Section 6(3) and Section 8(1) of the Royal Decree No. 750 issued by the Revenue Department, any VC or PE Trust wishing to receive revenue tax exemption is required to notify its VC or PE