check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The
three application forms into one, and reducing the required supporting documentation from 19 to 7 documents. The proposed actions above are expected to help cut down paper consumption by 15,000 sheets
Securities has terminated Pisist's employment since 1 April 2016.In order to prevent deception and damage, investors are strongly advised to examine documentation related to money transfers and securities
Securities has terminated Pisist's employment since 1 April 2016. In order to prevent deception and damage, investors are strongly advised to examine documentation related to money transfers and securities
regard, IFA has not received any evidentiary documentation or sufficient, reasonable commitment to the loan repayment within 15 May 2019 because GSTEL ceased its production and no longer generates
SEC may call for persons involved to provide information or submit evidentiary documentation while coordinating with foreign agencies to increase clarity for considering such matters.Also, the SEC
, suggestions or complaints via internal electronic network and closed-circuit TV systems. We also provided recommendations on compliance with the Statement of Corporate Governance Principles and best practices
)) Net Liquid Capital Rule (Section 97) Executives / Personnel Major Shareholders Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting and Financial Statements
establishment of an association related to securities business to the SEC Office as per the Form specified by the SEC Office, together with the following evidentiary documentation: (1) the regulations of the