qualification requirements intact and adjust the licensing fee structure to prevent overburdens to business operators.Essentially, this approach would allow an applicant to apply for a package of licenses at one

proposed loan has no collateral, no guarantor and no default interest rate. The second extension of the loan repayment period aims to prevent GSTEL from defaulting on the loan agreement with GJS. In this

securities companies. Any transactions not ordered by investors themselves should be rejected or an objection should be made immediately to prevent potential damage

account owner's knowledge to prevent potential damage. Recently, the SEC has punished offenders who caused damage to investors in several cases. In any event that an investor truly wishes to have a person

entity funds or ultra-high net worth investors.In addition, in order to prevent advantages taken against other investors during the public ICO which opens for the general public to invest, SEC will

securities or derivatives, investors are advised to examine beforehand whether the solicitor is a legally approved or registered entity to prevent potential damage. The SEC list of licensed entities is

an exception for appropriate and efficient mechanisms to prevent a conflict of interest in place, annual financial statements approved by an auditor, and maintenance of capital reserves in accordance

employees providing advice to the investors in order to prevent conflict of interest in respect of advice provision;4.     The wealth advice service providers who are securities brokers may automatically

financial instruments and put in place effective regulations to ensure compliance, fairness, and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and

Thavaramara said: ?The SEC strongly advises against pre-authorization on blank forms or documents of any kind to prevent investment consultants from using such documents to seek unlawful personal gains. Also