of operation of the securities company. “Service provider” means a provider of services as an investor contact on behalf of securities companies or a provider of back office services to securities
back office services to securities companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core
provider of back office services to securities companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core
, cover the following issues: 8.2.1 Procedures for communicating with relevant persons, correctness and modern of name list and contact data. 8.2.2 Procedures for evacuating employees or moving personnel to
continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are able to work
. Other employees involved in this incident were also disciplined by TMB for failing to comply with bank’s operating procedures. In considering the appropriate administrative sanction, SEC takes into
. Nevertheless, no facts appeared to demonstrate that Huobi would be able to rectify its work systems and ensure readiness of its personnel in accordance with the governing regulations within the requested
Meeting of Shareholders No. 1/2018 3. Approved the issuance of the Warrant to purchase ordinary share for Employees Stock Option Plan (CCET-WC), distributed to directors and/or employees of the Company and
(ESOP) is a tool to create motivation for personnel of the company to work effectively to promote the growth of the company by providing opportunity for directors and employee to take part in the