following regulations: (1) examine the account status of a client before trading securities for the client; (2) specify the method and procedure for trading securities for clients on the first-come-first
) examine the account status of a client before trading securities for the client; (2) specify the method and procedure for trading securities for clients on the first-come-first-served basis and take into
the assets in the client’s account is the rightful owner or the person, with written authorization, entrusted by the rightful owner. Clause 19. A securities company shall examine the status of the
company shall examine the status of the client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities trading for the client
19. A securities company shall examine the status of the client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities
rules on borrowing of money for purchasing securities or borrowing of securities for making a short sale; (2) examine under professional standards to ensure that the person requesting to borrow money for
In cases where any person makes a request for a transfer registration to the company, the company shall examine the validity of such transfer. If it is found that such transfer would contravene the
Profession shall provide mechanism to examine persons who are members of such working group to possess appropriate qualification for performing duties in order to make the Institute of Appraisal Profession
the inspection of the building structure and billboards by the companies registered with the Department of Public Works and Town Planning to inspect and certify all the billboards and get the