review process to ensure that the client’s records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records
other persons in a manner which is similar to or which is in competition with the operation of the management company except where the management company can show that its organizational structure does
other persons in a manner which is similar to or which is in competition with the operation of the management company except where the management company can show that its organizational structure does
Filing of the Registration Statement, Registration, and Other Applications when the application and the evidentiary documentation are accurate and complete in accordance with the Licensing Manual for the
financial years, the financial statements to be provided under paragraph 1 of this Part shall be prepared to show the combined financial information of the issuer and the common control entities or businesses
show its capability to operate as a derivatives exchange as prescribed under Section 57 and in accordance with the Notification of the Securities and Exchange Commission, the Notification of the Capital
personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature
personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature
successful performance of any trigger fund may proceed only after accurate and complete information on all of the trigger funds under management is clearly disclosed for investors? comparison and decision
statement / annual report (Form 56-1 One Report). This is to ensure that investors can access material information that is accurate and sufficient for investment decision making. In any case, the SEC