solicitor/advisor such as company’s name, address, website, online media, full name and contact details of solicitor/advisor, etc. ● Services information / recommendation received/ solicitation
regard to any claim of high return of investment, and check whether the solicitor has obtained a license or approval properly. Public fundraising through securities offering needs prior approval while in
securities or derivatives, investors are advised to examine beforehand whether the solicitor is a legally approved or registered entity to prevent potential damage. The SEC list of licensed entities is
Investment Co., Ltd. 6. Yu Long 7. Hu Shake 8. Hiang Yunjian 9. Tang Fang 10. Hong Fang 11. Huang Yi 12. Luo Yuxuan 13. Zhang Ruliang 14. Li Bo 15. Zhao Peng 16. Ma Dongjun 17. Song Chunxia 18. Li Junfeng 19
( Limited Partnership ) 5. Sichuan Rongchen Investment Co.,Ltd. 6. Yu Long 7. Hu Shake 8. Hiang Yunjian 9. Tang Fang 10. Hong Fang 11. Huang Yi 12. Luo Yuxuan 13. Zhang Ruliang 14. Li Bo 15. Zhao Peng 16. Ma
products : 1. Salesman of a Broker Dealer and/or Investment House 2. Certified Investment Solicitor (salesman for shares or units of Investment Companies) 3. Key officer/s of Fund Managers (Investment
/disclosures in the financial statements? 7 Legal Services: Does the firm provide legal services akin to acting as audit clients’ solicitor in a dispute or litigation? 8 Recruitment and Remuneration Services: If
clients’ solicitor in a dispute or litigation? 8 Recruitment and Remuneration Services: If the firm conducts recruitment services? If so, what is the extent of their involvement – regarding selection and
Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated: September 2019 2 Contents 1. Introduction 3 2. Definition 4 3. Guidance on ACMF Pass Framework 3.1 ACMF Pass overview 5 3.2 Permitted activities 6 3.3 Application process 9 3.4 On-going obligation 9 3.5 Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval proc...