. In a number of cases, the clients authorized the investment consultants to make trading decisions on their behalf. Usually, those clients did not have enough time or viewed that the investment
File Description 1 Approval of securities licenses, derivatives licenses trustee license and digital asset license Quarter 4/2024 2 Activation of securities business, derivatives business trustee
) Statistics (Dashboard) Enforcement Fundraising/Listed Companies Securities Issuing Companies Takeover Professionals Intermediaries Analysts / Investment Consultants ISIN Code Investor Alert Investor Alert
., Ltd. but he kept repeating the same mistakes.Investment consultants must keep taped evidence of their investment advice and a client's trading orders when obtaining derivative trading orders from
therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
Rules on Application for and Granting of Approval to Undertake Trust Business (No. 2)
Rules, Conditions and Procedures for Approval of the Securitization Project (No. 2)
Re: Application and Approval for Offer for Sale of Structured Notes