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(: BAV573) : 41 11 1108 : (00852) 3187 8701 : (00852) 2116 9415Personal Information Collection Statement concerning Northbound China Connect Orders (Notes) Processing of Personal Data as part
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Markets and securities services refer to a range of financial services and activities that provide support for the functioning of financial markets, including the buying, selling, and trading of securities, as well as custodial and settlement services.
Filing for markets and securities services is typically required for financial institutions, broker-dealers, and other entities that engage in the trading or management of securities.
To fill out markets and securities services forms, one must gather relevant financial data, ensure compliance with regulatory requirements, and accurately complete all sections of the forms as prescribed by the regulatory authority.
The purpose of markets and securities services is to promote transparency, ensure regulatory compliance, and facilitate efficient operations within financial markets.
Key information that must be reported includes transaction details, securities ownership, trading volumes, and any relevant compliance and risk management data.
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