the rules under Clause 7 or Clause 8, as the case may be. Clause 7 In obtaining client information, an intermediary shall notify each client that the true, accurate, updated and complete information
Filing of the Registration Statement, Registration, and Other Applications when the application and the evidentiary documentation are accurate and complete in accordance with the Licensing Manual for the
, Permission by Registration and All Applications for Obtaining Approval to the SEC Office on the date when the complete and accurate application together with the evidentiary documentation have been submitted
SEC as well. Preparation and disclosure of Form 56-1, although not necessarily be lengthy or extremely detailed, must contain adequate and accurate information in materiality and be made in a timely
new clients during the account opening process. Hence, such information must be accurate, complete, up-to-date, and clearly separated from other information. In case of significant revisions/updates
and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in
, and the balance at the end of the first quarter of the fiscal year 2017 accounted for 45 percent of the total assets and is thus considered EARTH's core assets. Accurate and complete information on such
shareholders? meeting has approved the exemption from making a tender offer based on sufficient and accurate information. This is because a whitewash exemption can affect the shareholders of a business as it
investment trust (REIT), to ensure accurate, clear and sufficient information for investors? investment decision.Chalee Chantanayingyong, SEC Deputy Secretary-General revealed that ?Recently, a number of