the notification of the SEC. “derivatives advisor” means any person who, in the ordinary course of business, gives advice to others, or holds himself out to the general public as being ready to give
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
business undertaking; (7)1 “investor contact” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment in securities for
of action against the impersonating Facebook account. In addition, the SEC has set up a special investor support team to give assistance and advice to BX clients via 24-hour Help Center Hotline 1207
concerning related laws and regulations of the target groups via the SEC clinic to give advice on this issue. Interested persons are welcome to call SEC Help Center at 1207 (press 4) to talk to SEC
, more user-friendly format for informing investors of key features, investment policies and associated risks, while giving investment consultants a more convenient tool for giving advice and selling units
auditors.? The Auditing Advisory Committee comprises both current audit practitioners and non-practitioners. Its major role is to render advice to the SEC regarding supervision and inspection of audit
example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in