exempt securities 中文意思是什麼
exempt securities
解釋
免辦登記證券- exempt : vt 免除，豁免 （from） exempt sb from an examination 免考。adj 被免除的，被豁免的 （from） commod...
- securities : 期貨
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Of the securities business of exempt institutions. in addition to ensuring regulatory compliance and adequacy of operational controls, the hkma will focus on the systems and controls relating to the on - line securities trading systems of institutions
除了確保有關機構遵守監管規定及備有足夠業務操作管控措施外，金管局會集中於與機構的網上證券買賣系統有關的系統與管控。 -
The securities investment trust fund will be exempt from position limits required for each contract by their respective trading rules only after the exchange has approved the application and issued certifying documentation that may be used to open a hedge account with a futures commission merchant or to convert an existing trading account into a hedge account
俟本公司同意並發給證明文件，憑以向期貨商開設避險帳戶或將原交易帳戶變更為避險帳戶，並由期貨商函報本公司后，該證券投資信託事業所管理之證券投資信託基金從事期貨交易，始得豁免交易規則之部位限制規定。 -
The legend indicates that the securities may not be resold in the marketplace unless they are registered with the sec or are exempt from the registration requirements
協議指出，除非你與公司注冊法人在證券管理委員會一起登記，否則股票不可能在市場中轉售。 -
" in late 2000 to facilitate its off - site review of the securities business of institutions that are exempt dealers
，以便對具有獲豁免交易商資格的認可機構的證券業務進行非現場審查。 -
Banks have been engaging in securities business in the capacity of " exempt dealers " under the existing regulatory regime
根據現有的監管架構，銀行是以獲豁免交易商的身份參與證券業務。 -
The hkma, in supervising the securities business of these exempt dealers, applies standards that are equivalent to those imposed by the sfc on registered dealers
金管局按照等同證監會對注冊交易商實施的標準，監管這些獲豁免交易商的證券業務。 -
Of the securities business of authorized institutions that are " exempt dealers ". such institutions are exempt from the need to be registered under the securities ordinance and are not subject to the supervision of the
金管局在2000年2月把證券業務審查專家小組的數目由1組增加至3組；這些小組負責對具有獲豁免交易商資格的認可機構的證券業務進行 -
Authorized institutions that are exempt dealers were reminded that they should take appropriate steps to ensure compliance with the relevant requirements, such as those relating to the provision of trading records to clients, the handling of clients securities collateral and claims and liens over securities
認可機構如屬獲豁免交易商，須採取適當措施，以確保遵守有關規定，例如關于向客戶提供交易記錄、處理客戶的證券抵押品及對證券的債權與質押權等的規定。 -
Was introduced into the legislative council at the same time, proposing parallel changes relating to the supervision of exempt authorized institutions ( i. e. exempt dealers under the current legislation ). the objective is to achieve consistency with the supervisory regime for securities firms proposed under the securities and futures bill
亦同時提交立法會，對獲豁免認可機構（即現行條例下的獲豁免交易商）的監管提出相同的修訂，目的是要與《證券及期貨條例草案》建議的證券公司監管制度一致。 -
Respondents generally consider that the administration s proposed approach is the correct one, " the spokesman said. under the proposal in the bill, offshore funds, i. e. non - resident entities which can be individuals, partnerships, trustees of trust estates or corporations administering a fund, are exempt from tax in respect of profits derived from dealings in securities, dealings in futures contracts and leveraged foreign exchange trading as defined in the securities and futures ordinance cap
根據草案中的建議，離岸基金，即指非居港的實體可以是管理基金的個人合信託產業的受託人或法團，在香港進行按證券及期貨條例第571章所界定的證券交易期貨合約交易及杠桿式外匯交易而獲得的利潤，可獲豁免繳稅。 -
In a survey conducted by the commission in 2000, 150 intermediaries registered with the securities and futures commission and exempt persons declared their primary business as portfolio management. about 85 per cent of these companies are subsidiaries or affiliates of international groups. the survey showed that total assets under management by these companies amounted to hk $ 3. 5 trillion
根據二零零零年的一項調查所得，有150名在證監會注冊的中介商人及豁免注冊人士報稱以投資組合管理為他們的主要業務，當中有85 ?為跨國企業的附屬或有聯系機構。 -
Private placement the sale of securities to a small group of investors ( generally 35 or fewer ) which is exempt from sec registration requirements
私募指向小規模數量的投資者（通常35個以下）出售股票，此方式可以免除如在美國證券交易委員會（ sec ）的注冊程序。 -
The securities and exchange commission of usa voted to publish for comment a rule proposal that also took action to adopt provisions t o exempt transactions between investment companies and affiliated persons in august 2002
對關聯交易進行法律規制的前提是首先要界定關聯人的范圍，而我國《公司法》和《證券法》並沒有對關聯人作出界定。 -
Municipal securities are issued by state and local governments and by special districts. interest on municipal securities is exempt from federal taxation. municipal securities come in a variety of types, with different redemption features, credit risk, and liquidity
市政債券在西方發達國家發展已經比較成熟，我國發展市政債券，具有國際經驗可以借鑒，分析市政債券在我國的可行性，研究市政債券在我國的可行性和風險，具有重要的現實意義。 -
Under the sfo, authorized institutions under the banking ordinance will no longer be exempt from regulation in relation to dealing in and advising on securities
根據證券及期貨條例，銀行業條例之下的認可機構不再就證券交易及就證券提供意見的活動獲豁免而無需受規管。 -
In a survey conducted by the securities and futures commission ( sfc ) in 2002, 172 intermediaries registered with the commission and exempt persons declared their primary business as fund management
根據證券及期貨事務監察委員會年內進行的調查，有172名在該會注冊的中介人及豁免注冊人士表示以基金管理（即管理投資組合及或提供投資建議）為他們的主要業務。 -
In a survey conducted by the securities and futures commission in 2001, 203 intermediaries registered with the commission and exempt persons declared their primary business as fund management ? managing portfolios and / or giving advice on investment
根據證券及期貨事務監察委員會在二零零一年所進行的調查，有203名在證監會注冊的中介商人及豁免注冊人士表示以基金管理（即管理投資組合和提供投資建議）為他們的主要業務。
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