acts. For example, Section 21 prescribes that a minor shall obtain a consent from the rightful representative before executing any legal acts and any acts executed by a minor without such consent shall
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
client’s securities held under the name of a derivatives broker as a result of client’s default pursuant from derivatives transaction. Clause 2. Derivatives broker shall arrange a contract or an agreement in
: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors
: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors
particulars which are material to the agreement. SECTION 134. In managing a private fund, the securities company shall provide a private fund manager with the approval of the Office in accordance with the rules
resolved to propose that the 2018 Annual Ordinary General Meeting of Shareholders to be held on April 20, 2018 consider granting approval for the Company to execute the Agreement for Engagement of CH