. 2546 (2003). “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish
consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients
Disclosure Business News ( 10 record(s) found) Date Time Heading Link 20/12/2022 17:02 Approval of connected transactions 09/08/2022 17:03 Approval of Real estate rental transactions for a period not longer
clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the
| - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees |- Related Circular Letter IP/FG |- Appoint/Approval/Code of conducts and Standard Practices |- Reporting |- Fees
operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
|- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting |- Fees |- Related Circular Letter Marketing |- Approval and Standards