the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute
person qualified to be fund manager shall attend the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an
) aspx ( 54 ) Microsoft Excel ( 8 ) Microsoft Word X ( 3 ) More >> http://172.19.1.196:8983/solr/secweb/select?q=power manage OR "power management" OR "strength administration" OR "strength leadership" OR
Policies, Procedures, Controls and Disclosures 2.6 A CRA should establish, maintain, document, and enforce policies, procedures, and controls to identify and eliminate, or manage and disclose, as appropriate
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the
) Microsoft Word ( 128 ) aspx ( 63 ) Microsoft Excel ( 10 ) Microsoft Word X ( 5 ) More >> http://172.19.1.196:8983/solr/secweb/select?q=electrical control OR "electrical control" OR "electric manage" OR