(d) and (e) means an advisor which giving an advice concerning with property or rental property right or procure the benefit from property; 4. Person having authority to control person under (1) to (3
property; 4. Person having authority to control person under (1) to (3) or person under (1) to (3) having authority to control the other persons as specified by the notification of the Office. Part 3 Soft
having authority to control person under (1) to (3) or person under (1) to (3) having authority to control the other persons as specified by the notification of the Office. Part 3 Soft Commissions Clause
ultimate responsibility over the system of quality management (SOQM) functions within the firm? B3 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
, etc. (if possible) shall be provided to the SEC office. 7 Acquisition through the chain principle means an acquisition of the significant control over a juristic person that is an existing shareholder
shareholders names, etc. (if possible) shall be provided to the SEC office. 7 Acquisition through the chain principle means an acquisition of the significant control over a juristic person that is an existing
, etc. (if possible) shall be provided to the SEC office. 7 Acquisition through the chain principle means an acquisition of the significant control over a juristic person that is an existing shareholder