the person controlling securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail
from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to and in the best interests of each client, as well as monitor and supervise
and in the best interests of each client, as well as monitor and supervise to ensure that any preparation and giving of advice adheres to the generally- accepted principles and that such advice is
and in the best interests of each client, as well as monitor and supervise to ensure that any preparation and giving of advice adheres to the generally- accepted principles and that such advice is
: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person
related party transactions 33 Part 3: Financial Statements 36 Part 4: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to
system for controlling and preventing the use of inside information between its work units and personnel clearly: (a) the period where the intermediary prepares a report on securities analysis ; (b) within
system for controlling and preventing the use of inside information between its work units and personnel clearly: 3 (a) the period where the intermediary prepares a report on securities analysis; (b
system for controlling and preventing the use of inside information between its work units and personnel clearly: 3 (a) the period where the intermediary prepares a report on securities analysis; (b
company” “subsidiary” “same-level subsidiary” “associate company” “controlling power” “connected person” “executive” “major shareholder” “controlling person” “person who may have a conflict of interest