SEC Search Search From : Home > Search > Search Results search: Sitemap Act and Royal Enactment ( 1 ) Documents Any Documents Microsoft Word ( 19 ) http://172.19.1.196:8983/solr/secweb/select?q
SEC Search Search From : Home > Search > Search Results search: Sitemap Act and Royal Enactment ( 3 ) Documents Any Documents Microsoft Word ( 59 ) http://172.19.1.196:8983/solr/secweb/select?q
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
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completeness or the correctness of the information in the offering documents nor guarantees the price or the return of the fund”. Clause 12. The securities company shall have statements or warnings under Clause
advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information and estimated return, except for estimated return specified in Clause 9; (3) information
the Office certifies the completeness or the correctness of the information in the offering documents nor guarantees the price or the return of the fund”. Clause 12. The securities company shall have
information in the offering documents nor guarantees the price or the return of the fund”. Clause 16. The securities company shall have statements or warnings under Clause 15 or any other warnings presented
name)….. on …(date)… does not mean the SEC or the Office certifies the completeness or the correctness of the information in the offering documents nor guarantees the price or the return of the fund