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⏭... Microsoft Word - Mv00312.docx ‐ 1 ‐ Guidance Note on Gifts, Promotions and Incentives for Class A and Class C Products 1. Introduction 1.1. In September 2009, the Securities and Futures Commission (“SFC”) launched a consultation process on its package of proposals to strengthen...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/1_HKFI_GN_Gifts_Promo_and_Incentives_v1_1_2012_20190823.pdf -
Date: 2019-12-20
... America) (item 27) Jama'at al-Tawhid wa'al-Jihad (JTJ) (item 78) You should review your records carefully to see whether you have had, or currently have, accounts, transactions or dealings with the named individuals or entities. If such review reveals any suspicious accounts...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/circular241104.html -
Date: 2017-06-23
...: Capacity 1: Capacity 2: Capacity 3: Capacity 4: VII Yes: Off VII No: Off Paidup Share Capital: IX Yes: Off IX No: Off Name of Authorized Institution: Name of Client Account: Reasion 1: Reason 2: X 1 Yes: Off X 1 No: Off X 2 Yes: Off X 2 No: Off X 3 Yes: Off X 3 No: Off X 4 Yes: Off X 4 No: Off X 5 Yes: Off...
https://www.ia.org.hk/english/infocenter/forms/files/Broker_Company_Application_Form_A4.pdf -
Date: 2022-01-06
...: Capacity 1: Capacity 2: Capacity 3: Capacity 4: VII Yes: Off VII No: Off Paidup Share Capital: IX Yes: Off IX No: Off Name of Authorized Institution: Name of Client Account: Reasion 1: Reason 2: X 1 Yes: Off X 1 No: Off X 2 Yes: Off X 2 No: Off X 3 Yes: Off X 3 No: Off X 4 Yes: Off X 4 No: Off X 5 Yes: Off...
https://www.ia.org.hk/english/infocenter/forms/files/Broker_Company_Application_Form_A4.pdf -
Date: 2022-05-31
...: Capacity 1: Capacity 2: Capacity 3: Capacity 4: VII Yes: Off VII No: Off Paidup Share Capital: IX Yes: Off IX No: Off Name of Authorized Institution: Name of Client Account: Reasion 1: Reason 2: X 1 Yes: Off X 1 No: Off X 2 Yes: Off X 2 No: Off X 3 Yes: Off X 3 No: Off X 4 Yes: Off X 4 No: Off X 5 Yes: Off...
https://www.ia.org.hk/english/infocenter/forms/files/Broker_Company_Application_Form_A4.pdf -
Date: 2020-06-24