Investor Presentaiton

OTC Securities Transactions Reporting Regime un OTC Securities Transactions Reporting Regime Reporting information when clients do not provide consent ● For an individual client who does not provide consent to a Relevant Regulated Intermediary for transfer of personal data to the SFC: A Relevant Regulated Intermediary should only effect transfers of shares out of, and withdrawals of physical share certificates from, the client's account A special indicator (to be specified in the Technical Document) will need to be submitted instead of the client's CID for such reporting

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