fifteen days from the date on which the Office receives such statement; (3) the statement of claim is incomplete or unclear, the claimant shall make correction or addition within thirty days from the date
to suspect that the material information disclosed to the general public is incomplete or inadequate to support the investment decision making, or misleading; (6) the applicant does not default on a
) there are no grounds to suspect that the material information disclosed to the general public is incomplete or inadequate to support the investment decision making, or misleading; (8) the foreign entity
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
-audit fee, demonstrate information of other non-audit fee paid in previous accounting year as well as other non-audit fee that will be paid in the future which arise from incomplete service given in the
examining that have compliance under system development and examine prior to transfer for operating in real condition. [A] 2.4 Transfer for operating in real condition · Inspect the transfer of operation
have compliance under system development and examine prior to transfer for operating in real condition. [A] 2.4 Transfer for operating in real condition o Inspect the transfer of operation system correct
rules on borrowing of money for purchasing securities or borrowing of securities for making a short sale; (2) examine under professional standards to ensure that the person requesting to borrow money for
In cases where any person makes a request for a transfer registration to the company, the company shall examine the validity of such transfer. If it is found that such transfer would contravene the