Securities And Futures Investor Compensation Claims Rules Free Related PDF's

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(investor compensation-claims) rules
Apr 1, 2003 ... 571T. SECURITIES AND FUTURES (INVESTOR. COMPENSATION-CLAIMS) RULES. Gazette Number Version Date. Empowering section.
CAP_571T_e_b5.pdf

LEGISLATIVE COUNCIL BRIEF Securities and Futures Ordinance
made the Securities and Futures (Investor Compensation - Claims) Rules (the ... establishment of a new investor compensation fund (ICF) and the establishment.
legco_invest_comp_claims.pdf

1 SECURITIES AND FUTURES (INVESTOR COMPENSATION
Interpretation. (1) In these Rules, unless the context otherwise requires “Claims Rules”. (《申索規則》) means the Securities and Futures (Investor Compensation – .
openAppendix?refNo=02CP13&appendix=1

Ord. No.5 of 2002 - Securities & Futures Commission of Hong Kong
Approval of rules or amendments to rules of recognized exchange company A239. 25. Transfer and resumption ..... Rules by recognized investor compensation company .................................... A323 ..... A481. 150. Claims and liens not affected .
5 of 2002.pdf

Securities and Futures Bill - Securities & Futures Commission of
Rules of recognized investor compensation company. 110 .... Claims and liens not affected. 243 .... Division 2 - Securities and Futures Appeals Tribunal. 202.
sfbille.pdf

Investor Compensation Fund - Securities & Futures Commission of
May 27, 2016 ... compensation payments to claimants as provided in the Securities and Futures ( Investor Compensation-. Claims) Rules. The SFC would pay ...
24_Investor Compensation Fund.pdf

LEGISLATIVE COUNCIL BRIEF - Securities & Futures Commission
which a person is entitled to claim compensation, the manner in which a claim is ... The Securities and Futures (Investor Compensation – Claims) Rules are ...
legco.pdf

transaction and investor compensation levies - HKEx
A Transaction Levy and an Investor Compensation Levy shall be payable to the ... Securities and Futures (Investor Compensation - Levy) Rules of the amount of  ...
chap-11_eng.pdf

SECURITIES AND FUTURES ORDINANCE
SECURITIES AND FUTURES COMMISSION. Division ..... A323. 82. Rules by recognized investor compensation company . ..... Claims and liens not affected .
ord005-02-e.pdf

Investor Compensation Fund - AJK - Wealth Management
Regulated by the Cyprus Securities and Exchange Commission ... AJK Wealth is a member of the Investor Compensation Fund for Clients of Investment Firms ( ...
Investor-Compensation-Fund-26-01-2016-2.pdf

An Introduction to Taiwan's Investor Protection Related - OECD
schemes for investors to claim their rights and benefits. Since most ... are the “ Rules Governing Securities Investors and Futures Traders Protection. Institutions”  ...
18468447.pdf

Description and assessment of the national investor compensation
investor compensation arrangements in each of the EU 15 Member States. ... the Wertpapieraufsichtsgesetz (WAG, the Securities Supervision Act 1996), which is ... contributions, establishment of compensation claims and other proceedings. .... financial futures contracts, including equivalent cash-settled instruments and ...
national-investor-app2005_en.pdf

Interactive Brokers Hong Kong Limited Client Agreement
Jun 3, 2015 ... "Client Securities Rules" means the Securities and Futures (Client ...... have the right to claim under the Investor Compensation Fund ...
ibhk_client_agreement.html

Investor Compensation Fund
Fund, set up by the Central Bank of Cyprus and the Cyprus Securities and Exchange ... The purpose of the Investor Compensation Fund is to secure the claims of covered clients against Cypriot ... no prospect of improving in the near future, or. 2. ... the relation of the client with the member of the Fund subject to set- off rules.
Investor-Compensation-Fund.pdf

Compensation Committee - HKEX Group
and Guarantee Scheme) in accordance with Chapter 9 of the Rules of the ... Fund ") in accordance with Part X of the Securities Ordinance and Chapter 12 of ... to investigate and determine whether any claim for compensation lodged under ... appropriate, subject to the approval of the Securities and Futures Commission;.
compensation.pdf

Free Full text - IMF
Advertising Guidelines. Advertising Guidelines Applicable to Collective Investment Scheme ... Securities and Futures (Investor Compensation–Claims) Rules.
cr14205.pdf

A Quick Guide to Hong Kong's Financial System and Services
powers derived from the Securities and Futures Ordinance and a subsidiary legislation, it ... and education to the public investing in financial products. Its investor ... trading and clearing rules. Financial .... may be terminated, or any future claim could be rejected. Purchase .... The Investor Compensation Fund compensates.
IEC-quick-guide-to-hk-financial-system-and-services.pdf

A. INVESTOR COMPENSATION FUND - SafeCap Ltd
by the payment of compensation for their claims arising from the covered ... (f) Collective investment organizations in transferable securities and their management ... position which has no realistic prospect of improvement in the near future, or. 2. ... rules of set-off applied for the calculation of the claims between the covered ...
investor-compensation-fund-guidance.pdf

investor compensation fund protection scheme - XM.COM
regulated by the Cyprus Securities and Exchange Commission (the ... The Company is a member of the Investor Compensation Fund ('Fund'), ... future or;. 5.2. A court has, on reasonable grounds directly related to the ... the set-off rules applied for the calculation of the claims between the covered client and the Company.
XM_Investor-Compensation-Fund-Protection-Statement.pdf

securities and futures act - Monetary Authority of Singapore
These Regulations may be cited as the Securities and Futures (Licensing and Conduct of ... transaction in accordance with the rules of a futures exchange or a clearing .... (d) a holder of a capital markets services licence for real estate investment trust ..... paragraph (3) shall be entitled to claim compensation in relation to the ...
SFLCBReg.pdf

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