SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
accordingly. 2. The relationship of ABICO with a limited company and PPO Farm Co., Ltd. ("PPO Farm"), an affiliate of ABICO, is found to be ambiguous and contradictory; ABICO claimed that it was not
Funds Passport (ARFP) (List of the Notifications in Enclosure 5) shall also apply to HK-TH-MRF on the condition that they are not contradictory or inconsistent with the cooperative framework under HK-TH
contradictory or inconsistent with the cooperative framework under HK-TH MRF. The details are as follows: 2.1 Inbound regulations · Hong Kong Covered Management Companies shall comply with the provisions
governing the ASEAN Collective Investment Schemes (ASEAN CIS) and the Asia Region Funds Passport (ARFP) shall also apply to HK-TH-MRF on the condition that they are not contradictory or inconsistent with the
obligation between unitholders and the mutual fund management company has been contradictory to the Law on Securities and Exchange as well as the Notifications, Regulations or Orders issued by virtue of such
at least the following conditions: (a) raising capital of the REIT is permitted only when it is not contradictory or inconsistent with the intention to establish the REIT and the provisions under the