=searchcontent_th~5^10000&ps=2&mm=100&qf=title_th_default&fq=key_filetype%3Adoc&start=20&rows=10 21 - 30 of 113 results Sort by: Relevance Date (Newest) Date (Oldest) 1146pe.doc , transaction confirmation slip
business personnel. Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to make sure that they are truly issued by
, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
? account to authorize securities transfers to the accounts of her related persons. In so doing, she filled in her own telephone number on the securities transfer form as the transaction confirmation number
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure
inappropriateness for acting as capital market business personnel. Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to
particular financial service provider/ intermediary. 4. Owning investment holdings • Explain the key information in an investment account statement or transaction confirmation document. • Identify the impact
) to clients; (3) visibly reveal the redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction