include (1) holding of shares conferring 50 percent or more of the total voting rights in the immediate holding entity, or (2) nominating a substantial number of directors. 8 Please enclose the documents
shares conferring 50 percent or more of the total voting rights in the immediate holding entity, or (2) nominating a substantial number of directors. 8 Please enclose the documents that indicate the voting
total voting rights in the immediate holding entity, or (2) nominating a substantial number of directors. 8 Please enclose the documents that indicate the voting rights of shares of the business held by
of the business. The significant control shall include (1) holding of shares conferring 50 percent or more of the total voting rights in the immediate holding entity, or (2) nominating a substantial
shall be made readily available for immediate use or verification by the management company , and shall be made available for the SEC Office’s inspection upon request. Clause 15 In case the SEC Office
clients. In this regard, such documents shall be made readily available for immediate use or verification by the management company, and shall be made available for the SEC Office’s inspection upon request
Clause 27 in a manner that it is readily available for immediate request or inspection by the SEC Office, and shall maintain such documentation for at least five years from the date of the closing of the
derivatives broker shall maintain complete documentation with respect to the undertakings in Clause 20, Clause 21, and Clause 27 in a manner that it is readily available for immediate request or inspection by