; (5) purchase for its own proprietary portfolio in which case the securities underwriter performs duty as market maker for an ETF fund, providing that such securities underwriter has put in place a
In cases where the SEC Office considers that it is necessary and expedient, with the applicant’s consent, the competent officer shall be empowered to enter into the place of business or address of such
of spouse ……………………………………………………... Former name (of spouse) ………..…………………………………... Occupation …………………… working place ….…..… 2.7 Number of children …..persons (if any) (in case of change of children’s
2006 (Translation) 2.6 Name of spouse ……………………………………………………... Former name (of spouse) ………..…………………………………... Occupation …………………… working place ….…..… 2.7 Number of children …..persons (if any) (in case of
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
the relevant approvals being obtained and the satisfaction of the conditions precedent under the CSPA, the Bank expects the completion of the Transaction to take place within the third quarter of 2020
. Despite intense competition in the market, we place focus on strengthening retention program and use analytics to protect and enhance revenue to tackle continued challenging data pricing environment. Home