its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
custody of assets of clients, a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under its custody are secured
concerning subsequent issues of other forms or series of debt securities; and g. covenant concerning any right to create additional charges over any of the assets. 2 2. For secured debt securities, other
accordance with the approval rules, or has failed to meet the conditions after approval, or has failed to disclose a complete, accurate and sufficient material information for investors decision making, the
: (1) “bond” means a secured bond, an unsecured bond, a convertible bond, a structured note or a subordinated bond, whether or not the issuer provides a bond holder representative; (2) “secured bond
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
evidence required in the Notification of the SEC Office in accordance with Clause 14. Upon receipt of the application including complete and accurate documents and evidence in accordance with the Licensing
and long-term liabilities secured with financial institutions and used as working capital in the business. 7.2 This asset disposal will help reduce the risk from managing capital structure, making the
-term liabilities secured with financial institutions and used as working capital in the business. 7.2 This asset disposal will help reduce the risk from managing capital structure, making the Company