related or does not refer to the publication of opinions or any other information of the person giving advice. Clause 2 This Notification shall come into force as from 16 June 2020. Notified this 1st day of
refer to the publication of opinions or any other information of the person giving advice. Clause 2 This Notification shall come into force as from 16 June 2020. Notified this 1st day of June 2020
capital refer to those whose net capital fall below the minimum requirements. The requirements of net capital maintenance are: (1) Net Capital (NC) with liquid assets, after deducting total liabilities and
Like the IOSCO CRA Principles, the IOSCO CRA Code is also intended to be useful to all types of CRAs relying on a variety of different business models. The IOSCO CRA Code does not indicate a preference
Clause 4 as well as the following information: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of
: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of accounts in undisclosed manner (omnibus
, and shall also indicate the number of arbitrators for the arbitral proceeding at the same time of filing the dispute. Clause 9. After the officer assigned by the Office has examined the dispute filing
on their behalf, and shall also indicate the number of arbitrators for the arbitral proceeding at the same time of filing the dispute. (UNOFFICIAL TRANSLATION) - 4 - Clause 9. After the officer