Compliance Adviser means any corporation or authorised financial institution licensed or registered under the Securities and Futures Ordinance for Type 6 regulated activity and permitted under its licence or certificate of registration to undertake work as a Sponsor and, as applicable, which is appointed under rule 6A.19 or rule 6A.20 to undertake work as a Compliance Adviser;
Compliance Adviser means a corporation appointed to act as compliance adviser under the Listing Rules.
Compliance Adviser means any corporation or authorised financial institution acceptable to the Exchange, licensed or registered under applicable laws to advise on corporate finance matters and which is appointed pursuant to rule 6A.19 or rule 6A.20;
Examples of Compliance Adviser in a sentence
In the event of such an appointment the Exchange will specify the circumstances in which the listed issuer must consult the Compliance Adviser and the responsibilities the Compliance Adviser must discharge.
The Compliance Adviser must discharge those responsibilities with due care and skill.
Immediately after a replacement Compliance Adviser has been appointed, the listed issuer must inform the Exchange and publish a further announcement.
The Compliance Adviser will provide our Company with professional advice on ongoing compliance with the Listing Rules.
It is the responsibility of the listed issuer to pay the reasonable fees of the Compliance Adviser.
More Definitions of Compliance Adviser
Compliance Adviser means any corporation or authorised financial institution acceptable to the Exchange, licensed or registered under the Securities and Futures Ordinance for Type 6 regulated activity and permitted under its licence or certificate of registration under applicable laws to advise on corporate finance matters and to undertake work as a Sponsor and, as applicable, which is appointed pursuant to rule 6A.19 or rule 6A.20 to undertake work as a Compliance Adviser;
Compliance Adviser means Somerley Capital Limited;
Compliance Adviser means Anglo Chinese Corporate Finance, Limited;
Compliance Adviser means any corporation or authorised financial institution acceptable to the Exchange, licensed or registered under applicable laws to advise on corporate finance matters and which is appointed pursuant to rule 3A.19 or rule 3A.20;
Compliance Adviser means a licensed corporation or registered institution licensed or registered under the SFO for Type 6 regulated activity and permitted under its licence or certificate of registration to undertake work as Sponsor appointed to act as compliance adviser under the Listing Rules of the SEHK.
Compliance Adviser means Somerley Limited, the Company’s compliance
Compliance Adviser means CASH Financial Services Group Limited;