or imprisonment for up to seven
31 Dec 2013 Overview - Hong Kong. ? Recovery in the number of SFC authorised funds (as at December). – 2008 . Financial Advisers Act (FAA). • Financial Advisers Regulations (FAR). • MAS Notices. • MAS Guidelines. • Code of Collective Investment Schemes .. Offer to unlimited “accredited investors" in Singapore.
In addition, the licensees are required to comply with the provisions of the Code of Conduct for Persons Providing Credit Rating Services and with other legal and regulatory requirements that are generally applicable to all SFC licensees. On April 21, 2011, the SFC released a circular in which it invited CRAs and their rating
Schedule 1 Risk disclosure statements. 51. Schedule 2 Client identity guidance note. 62. Schedule 3 Additional requirements for licensed or registered persons dealing in securities listed or traded on the Stock Exchange of. Hong Kong Limited. 64. Schedule 4 Additional requirements for licensed or registered persons.
Advertising Guidelines Applicable to Collective Investment Schemes Authorized under the Product Codes Guidance Note on Cooperation with the SFC . Guidelines on revised procedures for applications for Exempt Principal Trader (EPT) status under the Code on Takeovers and Mergers (Code) by principal traders that
SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products Section I - Overarching Principles Section Section II - Code on Unit Trusts and Mutual Funds Section III - Code on Investment-Linked Assurance Schemes Section IV - Code on Unlisted
relevant subsidiary legislation and rules to be made by the SFC. Closed-ended . Listing Rules. Closed-ended retail funds. The application procedures for seeking the SFC's authorisation for closed-ended retail funds are the same as those applicable to open-ended .. SFC's codes, guidelines and circulars. Retail hedge

Annons

The photo has no tags

February 2018