Compliance Adviser definition

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 3A.19 or rule 3A.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

  • The Compliance Adviser will be available to answer enquiries from the Stock Exchange and will act as the principal channel of communication with the Stock Exchange when the Authorized Representatives are not available.

  • The PRC issuer should also ensure that there are adequate and efficient means of communication between itself, its authorised representatives, directors and other officers and the Compliance Adviser and should keep the Compliance Adviser fully informed of all communications and dealings between it and the Exchange.

  • The Compliance Adviser will, among other things and in addition to the Authorized Representatives, provide us with professional advice on continuing obligations under the Listing Rules and act as additional channel of communication of the Company with the Stock Exchange during the period from the [REDACTED] to the date on which the Company complies with Rule 13.46 of the Listing Rules in respect of its financial results for the first full financial year immediately after the [REDACTED].

  • Notes: 1 For these purposes, the Compliance Adviser (or other adviser appointed under rule 6A.37) must provide details of all information which ought reasonably to be disclosed concerning the interests which it, its directors and employees and its close associates have in relation to the new applicant or listed issuer and the successful outcome of the listing or transaction in question, having taken all reasonable steps to ascertain such interests of its directors and employees and its close associates.

  • Our Company has appointed Somerley Capital Limited as our Compliance Adviser in compliance with Rule 3A.19 of the Listing Rules.


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 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 Anglo Chinese Corporate Finance, Limited;
Compliance Adviser means Somerley Capital Limited;
Compliance Adviser means Somerley Limited, the Company’s compliance
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 CASH Financial Services Group Limited;