Investor Protection. 20.15.1 Every HK Exchange contract shall be subject to the charge of a compensation fund levy and a levy pursuant to the Securities and Futures Ordinance, the cost of both of which shall be borne by the Client.
Investor Protection. SFA's role is to help protect investors, both private and professional, from financial loss caused by members' insolvency, failure to meet adequate standards of competence, or deliberate acts of deception. Furthermore, good market practice is one of London's attractions for ...
Investor Protection. In connection with any Change of Control or similar transaction under circumstances where any Purchaser or any holder thereof continues to hold a Warrant, the Company shall make, or cause to be made, available to such Purchaser and/or such holder all economic benefits in a manner that treats any Purchaser and/or such holder equitably with respect to all other equity holders of the Company. In this regard, the Company agrees to structure any Change of Control or similar transaction, under circumstances where any Purchaser or any holder thereof continues to hold a Warrant, in order to treat all equity holders, including such Purchaser and/or such holder, in a fair and equitable manner and such transaction structure shall not include disguised purchase price components in the form of payments allocated to covenants not to compete, consulting payments and the like, except for employment agreements or similar agreements providing for reasonable “arms length” levels of compensation to such equity holder in return for future services to be rendered to the acquirer subsequent to a Change of Control.
Investor Protection. 24.1 GMI does not undertake any obligation to provide individual advice, information or recommendation in respect of financial products not regulated by any applicable law.
Investor Protection. The Parties should, as far as possible, ensure that Bond Connect investors are protected by the relevant laws of the place where trading and settlement takes place.
Investor Protection. GrayScale Under the supervision of the three major financial institutions, investors' funds will be deposited in the most trustworthy banks to fully protect the rights and interests of users.
Investor Protection. (a) Trading in A Shares does not enjoy the protection afforded by the Investor Compensation Fund established under the Securities and Futures Ordinance. Accordingly, unlike the trading of SEHK listed securities, clients will not be covered by the Investor Compensation Fund in respect of any loss clients may sustain by reason of a default by persons licensed by or registered with the Securities and Futures Commission of Hong Kong.
Investor Protection. The TPP is expected to include a chapter that is reflective of the 2004 Model Bilateral Investment Treaty (BIT) of the United States which, among others, defines intellectual property as an investment and provides investor-state arbitration mechanisms that allow a foreign investor to choose the tribunal in which to bring claims against the government in proceedings that are typically confidential. Problem with protecting foreign tobacco companies as investors The proposed investment chapter of the TPP poses a real threat to a country’s ability to regulate tobacco. Simply put, foreign tobacco companies would have the right to challenge any tobacco control regulation in commercial arbitration proceedings whenever they claim that such regulation has affected the reasonable expectation of investors or is unfair and inequitable. This remedy lends itself to abuse by the tobacco companies. The multinational tobacco companies are known to utilize legal strategies in many countries to deter or delay adoption and implementation of effective tobacco control measures; the trend towards employing investor- state arbitration as one of its legal tactics is illustrated best by the investment claim that Xxxxxx Xxxxxx International filed against Uruguayix and the one it threatens to file against Australia.x Furthermore, many international investment agreements such as those proposed by the US under the 2004 Model BIT, consider intellectual property as an “investment,”xi hence, a foreign tobacco investor can claim that packaging and labeling measures are deemed to have expropriated “indirectly,”xii or undermined the value of, its trademark; and unless certain conditions have been met (i.e. for public purpose, not discriminatory, and payment of just compensation), the government can be brought to arbitration and made liable for damages, including lost profits. A further complication is the fact that there are several transnational tobacco companies operating in many countries including developing ones, and “foreign investors” under the international investment agreements are defined broadly such that it can include foreign stock owners of a locally constituted tobacco company and its corporate stockholders; thereby increasing the number of foreign investors and nationalities qualified to bring an investor-state claim. Hence, even if the government has concluded very few international investment treaties, the risks exist. Remove investor-state dispute settlement mechanisms or ...
Investor Protection. 21. The Parties agree to protect the rights and interests of investors based on the principle of “regulation by the jurisdiction where the business is conducted ". Complaints arising from the process of cross-boundary remittance and purchase and sale of wealth management products under the Scheme shall be handled by the relevant financial regulators in accordance with laws and regulations of where the banks conduct the relevant business. The Parties agree to provide guidance to banks in the three jurisdictions to establish a complaint coordination and referral mechanism with their cross-boundary partnering banks to ensure that complaints are followed up by specific responsible units, and to provide investors with convenient cross-boundary complaint channels.
Investor Protection. The transactions carried out under the Southbound Scheme in the dedicated investment account are subject to the protection of laws and regulations and regulatory regimes of Hong Kong.
