intends to share the branch manager with other full-service branch offices such securities company shall submit the application together with document evidence showing the details of management plan and
offices such securities company shall submit the application together with document evidence showing the details of management plan and supervision of the operation of the full-service branch offices
broker intends to share the branch manager with other full-service branch offices such derivatives broker shall submit the application together with document evidence showing the details of plans for
with document evidence showing the details of plans for management and supervision of the operation of the full- service branch offices managed by the same manager. The Office shall consider and notify
any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as appropriate within the
grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary