services within the scope of each type of license granted to the intermediary; 4 (2) To arrange for clients to access the information prepared by the foreign intermediary or the issuer or the offeror of such
type of license granted to the intermediary ; (2) To arrange for clients to access the information prepared by the foreign intermediary or the issuer or the offeror of such product in support of their
information prepared by the foreign intermediary or the issuer or the offeror of such product in support of their investment decision making; (3) To disclose the fees charged to the clients by the intermediary
undertaking of business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various
business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various guidelines
: Fund Information 1) Name of NRI CIS: ________________________________________________________ 2) Home Jurisdiction: ________________________________________________________ 3) Home Regulator
while many surveyed markets failed to do so. In addition, the SEC?s strict review on financial statements of listed firms led to orders of special audit or rectification to ensure correct information for
licensed to undertake the derivatives business by a regulatory agency on derivatives in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO); (5) “ investor