within one year, unless such condition has been waived by the SEC Office; 2. the financial lease contract which a derivatives broker , as lessee, is entitled to prematurely terminate without the condition
waived by the SEC Office; 2. the financial lease contract which a derivatives broker, as lessee, is entitled to prematurely terminate without the condition to buy the leased properties, except the penalty
financial lease contract which a derivatives broker, as lessee, is entitled to prematurely terminate without the condition to buy the leased properties, except the penalty from premature termination; 3. other
registration statement. B. Advisers and Other Parties Provide the names and addresses of a. the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor
– (a) the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer
(1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker of a securities company under Section 100 of
of operational function other than sub clause (1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker
Conditions in Outsourcing Operational Function ______________________________ Clause 20 An intermediary shall arrange to have a written contract assigning a third party to be the service provider for function