qualifications and smart contracts by SEC-approved ICO portals; (3) There might not be enough necessary information disclosed for investors.(4) These is no business operators under SEC supervision allowed
executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved
documents indicated that its total revenues relied on six major counterparties, accounting for 49 percent of total revenues from sales and services. It was found, however, that 30 percent of the applicant?s
revenue with the SEC, they did not raise any observation in documents supporting the said clarification despite various factors indicated doubt on document authenticity;3. For the filing, the financial
Statements ( 60 ) Property Fund Prospectus ( 60 ) Form 59-1 / 59/2 ( 46 ) List of Approved persons / Licensees ( 40 ) Public Hearings ( 37 ) Tender Offer Documents ( 17 ) Infrastructure Fund Prospectus ( 9
Prospectus ( 60 ) Finanacial Statements ( 48 ) Form 59-1 / 59/2 ( 41 ) List of Approved persons / Licensees ( 40 ) Public Hearings ( 33 ) Tender Offer Documents ( 17 ) Infrastructure Fund Prospectus ( 9
inappropriateness for acting as capital market business personnel. Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to
, shareholding structure of the entity, nature of business, place of incorporation, place of operating business, financial status, objective of transaction, as well as all documents concerning identification data
, nature of business, place of incorporation, place of operating business, financial status, objective of transaction, as well as all documents concerning identification data. In this regard, all information
those in relation to suspicious transaction reporting, for at least 5 years from the date the account is closed /the business relationship with the client is terminated. Such documents and information