evidentiary documentation via the form and method provided by the SEC Office on the SEC Office’s website. Clause 7 1 In the case where the SEC Office considers that the applicant has the correct and complete
a license under Clause 3 shall be submitted together with the following evidentiary documentation: (1)( details of the work system for preparing, procesing, storing and reporting provision of services
following evidentiary documentation: (1) details of the work system for preparing, procesing, storing and reporting provision of services as securities registrar, including the internal control system
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive
results Sort by: Relevance Date (Newest) Date (Oldest) .. by submitting the Financial Advisor Application Form FA-1 together with the evidentiary documentation as specified thereunder in accordance with the
: Relevance Date (Newest) Date (Oldest) .. by submitting the Financial Advisor Application Form FA-1 together with the evidentiary documentation as specified thereunder in accordance with the guideline in the
interest payment date to be 30 April 2025, and approving the cancellation of immediate bond maturity and default interest as specified in the bondholder representatives’ documentation; (6) Granting