…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the
correct. Signature …………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and
accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC
filled up at the moment, the SEC official who accepts the application and the applicant must sign their names on the record of defect and the list of evidentiary documentation, and a period of time for the
and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the
system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the aforementioned. Clause 6
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
trading decisions on the client's behalf from June 2009 until April 2011. Furthermore, she asked the client to sign the application of the securities transfer despite the amount of the client's securities