structures indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be

the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures indicate that it is acting as a business unit

indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be practicable

SEC’s proceedings, and records or any other past demeanors which indicate inappropriateness to be personnel in the capital market business. Investors are strongly advised to immediately check mutual

from investigation that the client instruction was unclear and certain conversations could indicate that {F} had made unauthorized gold futures trading decision and informed the client afterward

payable, if other than the issuer. If any of the securities are to be offered for the account of a selling shareholder, indicate the portion of such expenses to be borne by such shareholder. Indicate the

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