and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current
amount of money for each day shall not be less than the total amount of net balance calculated at the end of prior working day or at the end of present working day from cash account and margin account of
to ensure that the exercising discretion of the SEC Office under this Chapter is transparency and due process, prior to notifying suspension or revocation order or period for removing a person from the
is transparency and due process, prior to notifying suspension or revocation order or period for removing a person from the position as a result of possessing prohibited characteristics in Group 3
quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor
thirty days prior to the end of the second calendar year the attendance of course under Clause 7 (1) is due; (4) pay the application fees as determined by the Notification of the Office of the Securities
fund manager shall be submitted at least thirty days prior to the last date of the calendar year the refresher course under Clause 9 (1) is due; (4) paying for application fees as prescribed by the
company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. Clause 5. To advertise, in any cases, the securities
professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in
…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening