opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy
in the category of derivatives fund manager; “Customer” means any person who authorizes the derivatives fund manager to provide the services of derivatives fund management for them; “Investment manager
derivatives fund manager; “Customer” means any person who authorizes the derivatives fund manager to provide the services of derivatives fund management for them; “Investment manager” means any person who is
category of derivatives fund manager; “Customer” means any person who authorizes the derivatives fund manager to provide the services of derivatives fund management for them; “Investment manager” means any
relationships with the listed company Sellers : NEWS Purchaser : NBC, a subsidiary of the Company, which the Company holds shares having voting rights in the amount of 71.45 percent of the total sold shares of
Consolidated net loss for the period (Q1) amount -4.57 million compare with the same period (Q1) for the last year amount -2.80 because the Company Cost of Market Development of Expanding the customer base and
22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing representatives (Section 18
strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk
Know-Your-Customer (KYC) and Customer-Due-Diligence (CDD), and (7) providing suitability test for retail investors. The SEC also seeks public comments on shelf filing whereby a series of fundraising
deficiencies in CL's system for overseeing the outsourcing of an assigned freelancer for introducing customer list. CL failed to supervise the performance of the freelancer in accordance with the assigned