Licensed person sfo
Web12. sep 2002. · An AI which immediately before the commencement of the SFO is an exempt dealer under the to-be-repealed Securities Ordinance shall be deemed to have been registered with the SFC for Type 1, Type 4, Type 6 and (subject to the condition of not providing a service of managing a portfolio of futures contracts for another person) Type … WebTo print the whole chapter in HTML, please click at the bottom of the TOC panel and then click .Please set the page orientation to “Landscape” for printing of bilingual texts …
Licensed person sfo
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WebThe SFC’s prior approval is required for any company or individual to become a substantial shareholder of a licensed corporation. [1] A person will be a substantial shareholder of a corporation if he or she, either alone or with associates: ... Section 131 of the SFO. [2] Section 6 of Schedule 1 to the SFO. [3] The Securities and Futures ... WebSample 1 Sample 2 Sample 3. Based on 7 documents. Licensing Officer means a person appointed as a licensing officer under section 4 (1) (a); ( dd) “ licensing period ” means …
Web03. sep 2024. · The Securities and Futures Ordinance (“SFO”) establishes licensing requirements for both firms and individuals acting on behalf of firms. Firms: Licensed … WebPerson Accounts. 1 custom app per org Sales Console Apps. Available for purchase Inbox. Sell from anywhere on any device. Salesforce Mobile App. Full Offline Mobile Functionality. Forecast sales more accurately. Collaborative Forecasting. Forecasting Mobile App. Create and track quotes and orders. Contracts.
Web03. apr 2024. · 持牌人及註冊機構的公眾紀錄冊. 持牌人及註冊機構的公眾紀錄冊. 本紀錄冊載有自2003年4月1日（即《證券及期貨條例》的生效日期）起所有持牌人（即持牌人士及 … Web7. APPROVAL CRITERIA. Part V of the SFO sets out various criteria to be met by an applicant for a corporate or representative licence. The most important of these is that the SFC must be satisfied that the applicant is a fit and proper person to be licensed for the regulated activity (Sections 116(3) and 120(3)).
Web11. apr 2024. · Minimum Qualifications: Be 21 years of age. There is no maximum age limit. Have not been convicted of a felony crime. Have not been convicted of an offense …
WebEvery individual on the Register has been certified by the CEO or Director of his/her financial institution to have met MAS' fit and proper criteria. Details on the fit and proper criteria, which include competency, financial soundness and integrity, are set out in MAS' Fit and Proper Guidelines which are available on MAS' website. langley junior school solihullWeb13. okt 2014. · Licensed or registered persons dealing with corporate professional investors (including trusts which qualify as non-institutional professional investors and … langley key cuttingWebAs prescribed in Schedule 5 of the SFO. n. Regulated entity A licensed corporation or an associated entity of an intermediary. o. Reportable matter A matter that in the opinion of the person acting as an auditor within the meaning of section 157(1)(a) of the SFO – (a) in the case of a licensed corporation – langley landfill hoursWebHome Securities & Futures Commission of Hong Kong hemphill singing groupWebCode of Conduct for Persons Licensed by or Registered with the ... hemphill softballWeb22. jan 2024. · When applying for a licence under section 116(1) of the SFO, you are required to provide information regarding your MICs and your organisational … hemp hills marylandWebThe SFO requires every licensed corporation to have at least two Responsible Officers to directly supervise the conduct of each regulated activity. Each Responsible Officer may … hemphill spring company