asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from
acquisition and disposition of client’s assets; □ (3.3) System for verification and reconciliation of client’s assets to ensure accuracy and completeness; □ (3.4) System for asset inventory demonstrating
documentation demonstrating that it has qualifications as stipulated in Division 2 of this Chapter. In case of the company stated in Clause 4(2), the following evidentiary documentation shall be submitted as well
-incompetent person; (2) I am a person not eligible to serve as director, manager, person with managerial authority or advisor of financial institution because of the possession of prohibited characteristics
legal proceedings under the law governing securities and exchange and notifications issued by virtue of the said law. Clause 5 Other than the reasonable grounds of lack of qualifications or possession of
World Federation of Exchanges (WFE) or debt instrument having organized secondary market; (3) having policy to invest in the similar assets as those permissible to invest in or to have in possession by
Exchange Commission KorDor. 30/2540 Re: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities 31/07/1997 5. Notification of the Securities and Exchange Commission
renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the
, TRC’s financial manager, and (4) Ariya, Ounruen’s sister, had knowledge or possession of such inside information and the persons in (1), (2) and (4) had used such information to sell TRC shares in their