sfc registered person search

The HKICS has full responsibility for ensuring that its examinations meet international standards and Hong Kong variant papers are now set in key examination subjects, such as taxation, company law, company secretarial practice.

**If more than one person is to be served in the same household, an extra $20 per person will be charged. Court Filing: $50.00 SKIP TRACING OF PEOPLE $200.00 ASSET SEARCH: $350.00 (*This does not include bank accounts or deposit boxes at financial

We provide contact information for the general public, media, listed companies, market participants and HKEX shareholders. Investors need to trade Hong Kong securities and derivative products through Securities and Futures Commission (SFC) licensed persons or

What happens to your details. You can watch our video about the public register with captions on YouTube (1m 50s). What the public register is Companies House is the registry for all UK limited

Registered Investment Corporation (PDF • Excel) (Available in Japanese) Business Operators, etc., Engaging in Specially Permitted Businesses for Qualified Institutional Investors, etc. Credit Rating Agencies (PDF • Excel) Specified Financial BenchmarkPDF • )

Companies Registry Electronic Search Services Application for Registration as Registered Online User To become a Registered Online User, please complete the following procedure: Please read the Terms and Conditions before submitting this Application Form.

See All Financial Institutions All Licence Type/Status Banking Local Bank 4 Qualifying Full Bank 9 Full Bank 20 Wholesale Bank 99 Merchant Bank 24 Finance Company 3 Money Broker 7

Search Guide Disclaimer Disclaimer Explanatory Note Explanatory Note Search Guide TITLE SEARCH CONTENT SEARCH

The unregistered online user (“the Unregistered User”) requests the Registrar of Companies (“the Registrar”) and the Registrar upon receiving the Unregistered User’s acceptance of the terms and conditions hereinafter set out, agrees to provide search services (“e

“It’s really helpful when Mastering explains the process of how to think about the problems and how to actually solve them.” —Student, Mastering Physics Fuel better learning: Mastering creates truly personalized online learning experiences that help students make real progress in

BVI’s Beneficial Ownership Secure Search System Act 2017 came into force on 30 June 2017 to establish a search system facilitating the retrieval of beneficial owner information for corporate &

The Court recognizes SFC’s powers to access personal materials not relevant to SFC’s investigationOn Valentine’s day 14 th February 2020, the Court of First Instance of the High Court of Hong Kong handed down judgments in support of magistrates issuing search warrants to authorise the Securities and Futures Commission (“ SFC ”) to search for, seize and remove records and documents.

The Global FSC Certificate Database contains the most up-to-date information on FSC certificates, both Forest Management and Chain of Custody.The database can be used to: 1) Verify that a company is FSC certified. 2) Search for FSC certified companies or

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Chairman’s Message “The construction industry has been facing the challenges of manpower shortage, site safety, rising construction costs and quality assurance. In 2018, the policy address indicates that the Government together with the CIC are taking the lead

This institution-based regulatory approach follows the arrangements under the previous administrative regime, in which MPFA has relied primarily on MA, IA and SFC as far as practicable to supervise MPF intermediaries under their respective regimes.

Browse and apply over 53 ro sfc type 4 &9 jobs on jobsDB Hong Kong. Create job alert to receive latest ro sfc type 4 &9 jobs. New jobs everyday means new opportunities. Don’t

Search and apply for latest 86 jobs in All locations Responsible Officer RO SFC Licensed Representative Asset Management Hedge Fund Private Fund Part time Full time bonus

17/02/2020 Sharing by Ms Alice Law, Managing Director, and Mr Leo Chu, Chief Operating Officer, on “MPF System and Digital Transformation”, for Fintech and IT Companies of the Cyberport Community 05/12/2019 Presentation by Ms Alice Law, Managing

The SFC is obliged to refuse to grant a licence if a firm fails to satisfy the SFC that it, its substantial shareholders, officers and any other person who is or is to be employed by, or associated with, the fund manager for the purpose of the regulated activity is “****”.

SFC clarifies and introduces new acceptable approaches for remote client on-boarding by licensed corporations in Hong Kong King & Wood Mallesons To view this article you need a PDF viewer such as

SFC clarifies Requirements for Asset Management Activity Introduction Competence requirements for corporations Competence requirements for ROs Relevant industry experience Local regulatory framework paper (LRP) requirements Introduction On 23 June 2017

This text file contains the Central Index Key (CIK) numbers, company names, SEC reporting file numbers, and addresses (business addresses are provided when mailing addresses are not available) of active broker-dealers who are registered with the SEC.

A Settlement Agent is a service provider appointed by a CCASS Participant except Investor Participant (“non-IP Participant”) to access CCASS and conduct settlement and other activities in CCASS on behalf of the Participant without changing the Participant’s principal obligations vis-à-vis HKSCC.

Search the world’s information, including webpages, images, videos and more. Google has many special features to help you find exactly what you’re looking for. To all grocery

Leroy Arthur Petry (born 29 July 1979) is a career United States Army soldier, now retired. He received the U.S. military’s highest decoration, the Medal of Honor, for his actions in Afghanistan in 2008 during Operation Enduring Freedom. Born in Santa Fe,

Early life and education ·

For funds not authorised by the SFC, the licensed or registered person distributing such funds should ensure that the recommendation or solicitation made is suitable for the client in all circumstances, having regard to information about the client of which the

*** The witnessing (or verifying) professional must be a registered person, a Justice of Peace, or a professional person (e.g. registered accountant, lawyer). If there is no witness to sign and approve the account opening agreement, applicants may mail the

1. Regulatory requirements in asset management; SFC’s licensing and registration regime 2. Code of Conduct for Persons Licensed by or Registered with the SFC 3. Management, Supervision and Internal Control Guidelines for Persons Licensed by or 4.

The Jersey Financial Services Commission (JFSC) is the financial services regulator for Jersey, Channel Islands. Our Registry is responsible for nine registers. Jersey Financial Services Commission We are the regulator for the financial services industry in Jersey.

In the light of the queries raised by Herbert Smith Freehills following industry consultation, the Securities and Futures Commission (SFC) has issued guidance on the application of new paragraph 6.2(i) of the client agreement requirements under the Code of Conduct for Persons Licensed by or Registered with the SFC (Code), i.e. the mandatory suitability clause (Suitability Clause), to corporate

Paragraph 3.9(b) of the Code of Conduct for Persons Licensed by or Registered with the SFC (Code of Conduct) provides that where order instructions are received from clients through the telephone, a licensed or registered person should use a telephone

Search Menu ASSOCIATE MEMBERSHIP Associate Membership is open to organizations that support the goals of AIAM, but do not meet the admission criteria in Hong Kong for an Ordinary Membership. ASSOCIATE MEMBERSHIP APPLICATION FORM * * *

SFC NOMINEES LIMITED – Free company information from Companies House including registered office address, filing history, accounts, annual return, officers, charges, business activity Company Results (links open in a new window) Date (document was filed at Companies House)

SFC NOMINEES LIMITED – Free company information from Companies House including registered office address, filing history, accounts, annual return, officers, charges, business activity Nature of control Ownership of shares – 75% or more

The official search is not done for the applicant but rather to determine whether a mark which has been applied for can be registered. You can conduct a search online using the Trademark Electronic Search System (TESS) or by visiting the Public Search Facility

In financial regulation, a politically exposed person (PEP) is one who has been entrusted with a prominent public function. A PEP generally presents a higher risk for potential involvement in bribery and corruption by virtue of their position and the influence that they may hold. The terms politically exposed person and senior foreign

Definition by the Financial Action Task Force on Money Laundering ·

The construction industry is a vital sector in the economy of Hong Kong, employing almost half a million workers. Based on the forecast by the Construction Industry Council (CIC) in December 2017, annual construction expenditure will exceed $250 billion, or

William Maud Bryant (February 16, 1933 – March 24, 1969) was a United States Army Special Forces soldier and a recipient of America’s highest military decoration—the Medal of Honor—for his actions in the Vietnam War.

Biography ·

The SFC has indicated that a licensed or registered person would generally not be regarded as independent if such person receives fees, commissions or any monetary or non-monetary benefits in

Yes. Under section 2(1) of the Stamp Duty Ordinance (Cap. 117)(“SDO”), units under a unit trust scheme fall within the definition of “stock”. Since a transfer of units of a recognized Hong Kong fund is required to be registered in Hong Kong, the units will be Hong

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person to ascertain whether a business is registered under that 法例授權接收的其他人士。除了《個人資料(私隱)條例》 ordinance and the particulars of the businesses so registered, in (第486 章)規定的豁免範圍之外,你有權要求查閱及改正 accordance

SFC GROUP LTD – Free company information from Companies House including registered office address, filing history, accounts, annual return, officers, charges, business activity Company Results (links open in a new window) Date (document was filed at Companies House)

Customs Notice 20-01 – The purpose of this Customs Notice is to advise commercial importers that as of January 15, 2020, a SFC licence is mandatory to import certain foods into Canada. Shipments without an SFC licence may experience delays or refusal of

Although the Admissions Office remains open, all in-person campus tours, appointments, or immediate decisions will take place virtually. SFC welcomes prospective students and their families to schedule virtual appointments and virtual campus tours.

Although the SFC’s view on the extra-territoriality of cold shoulder orders is not free from doubt, care should also be taken to ensure that an intermediary licensed or registered in Hong Kong does not facilitate trades in any market with a person who is subject to a

– that fund manager is registered or licensed by an overseas regulatory authority listed in the Schedule of the Law – see list attached as Appendix C; and – the person (A) acts as a director for a covered entity by virtue of that person’s relationship to that fund

The SFC considers Cheung’s conduct dishonest and calls into question his fitness and properness to be a registered or licensed person. In deciding the sanction, the SFC took into account all relevant circumstances, including the bank’s financial loss resulting

The Hong Kong Securities and Futures Commission (SFC) offered new guidance for security token offerings (STO) in an official statement published on its website March 28. The statement was issued to clarify legal and regulatory requirements and remind investors

New SFC Regulatory Requirements to reduce and mitigate hacking risks Clyde & Co LLP Hong Kong December 4 failure to adhere to the Guidelines may affect the SFC’s view on a person’s fitness and