stipulate a position limit of their clients, the intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under
limit of their clients, the intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under Clause 37 of the
limit of their clients, the intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under Clause 37 of the
matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept
matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept
the duration of possible extension, as well as how this information will be made public. 4. In case the exact dates of the offering period are not known, disclose the arrangements for announcing the
. Disclose whether an issuer is directly or indirectly controlled by another entity or natural person, as well as the nature of such control. To the extent known to the issuer, indicate whether the issuer is
arrangement for transfer and any transfer restriction of the debt securities. 6. Disclose the currency the debt securities are denominated as well as the currency in which any amount payable on the debt
/ regulatory action 5. Advertising, raising customer awareness • One state regulator describes their role as making advisors reveal their “verification of misconduct” (costly verification) • Conditional on a
the debt securities holders’ official representative who acts in a fiduciary capacity for the debt securities holders, as well as the provisions applicable to this representation. 2. Disclose the