请问香港9号牌RO如果在内地注册了一家公司，未向sfc报备，会被吊销牌照吗？香港证监会（SFC）对于持牌人士（包括9号牌——资产管理牌）的要求相当严格。作为持牌法团的负责人员（Responsible Officer, RO），需要持续符合「适当人选」(Fit and Proper) 的标准，并遵守相关法规和监管规定。关键点在于「报备与披露义务」...
2) Fit and Proper Criteria,The 《适当人选的准则》 3) His election is a sure thing. 他准会当选的。 4) Supplementary Notes to the Fit and Proper Criteria (for applicants applying for licences under the Leveraged Foreign Exchange Trading Ordinance) ...
Collection timing delay is also important and proper delays between the detector and collection system must be determined for optimal recovery of target compounds. Just as in Prep HPLC, these delays are dependent on flow rates. In SFC, however, changes in collection timing also accompany changes ...
%以上已发行股份或通过其他法人间接持有持牌人10%以上已发行股份的人士(“大股东”)、董事、经理、秘书、其他管理人员(“高级管理人员”)、因从事持牌活动而雇用的任何其他人士、或者将因持牌活动与申请持牌人有联系的任何其他人士(合称“备选人士”),都必须由证监会审核,确认其具备适当人选(fit and proper person)...
The SFC conducts its initial assessment including a consideration of, amongst other things, the VATP applicant's business structure, competence, and fit and proper status. The SFC also retains discretion to oppose the appointment of the EA by the VATP applicant and, if so, to ...
“We are pleased that the industry shares this vision and overwhelmingly supports our proposals.” The revised Guidelines on Competence, Guidelines on Continuous Professional Training and Fit and Proper Guidelines will be gazetted on 25 June 2021 and become effective on 1 January 2022....
Seller reserves the right, in its sole discretion and without prior notice, to make changes to Equipment at any time that do not materially affect form, fit or function. Buyer Requested Change, Delay or Cancellation; Liquidated Damages. If Buyer requests a change to Equipment, Seller may impose...
SFC-licensed or registered persons engaged in market sounding. Breach of the guidelines could be taken into account by the SFC in determining whether it considers the person in breach to be fit and proper to remain licensed or registered under section 129 of the Securities and Futures Ordinance....
Such failures or breaches will call into question whether the asset manager remains fit and proper to be licensed.Senior management should ensure that they have effective measures in place to identify if any proposed arrangement or transaction appears ...
These breaches and failures to meet the expected standards of conduct will also call into question whether the AM remain fit and proper to be licensed. Next steps AM must at all times remain vigilant in their asset management activities and particularly when dealing with potentially dubious or ...