the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities company shall segregate assets under its custody as assets of clients in not less than the following amount: (1) Money: the
and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities
pandemic, will pose an even greater challenge to commercial banks’ operating performance from the lending rate reduction and assistance measures for crisis-hit clients, including suspension of principal and
Official Information Act: Persons to whom requests for information are made/persons who request information /employees/persons who receive letters/names of officers who request information from the Office of
periods, and repaying the bond principal in 11 annual installments, with the final installment to be repaid on the extended maturity dates, as follows: - Installments 1 and 7 - 9: 10 percent
concerning the legal relation of the unit holders shall be furnished with the following contents; (1) the status of a unit holder does not create a principal-agent relationship between the unit holders and the
detail [i] to the intermediary, the derivatives exchange, the derivatives clearing house or the SEC Office upon request or [ii] according to the rules as specified by the exchange, the clearing house or