Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
, requiring the company to consider the need for organizing mass gathering activities. Under the circumstances, the company has less income from training activities or seminars. Moreover, the six-month of
that it was in the process of gathering relevant documents and evidence for auditor. In addition, AIE and AI sought for an extension of deadline to submit the Q1/2015 financial statements from May 15
that it was in the process of gathering relevant documents and evidence for auditor. In addition, AIE and AI sought for an extension of deadline to submit the Q1/2015 financial statements from May 15
the extended deadline because the new financial advisor whom PACE has appointed to appraise the fair value measurement of the investment is still gathering and analyzing data and information from many
the extended deadline because the new financial advisor whom PACE has appointed to appraise the fair value measurement of the investment is still gathering and analyzing data and information from many
extended deadline because the new financial advisor whom PACE has appointed to appraise the fair value measurement of the investment is still gathering and analyzing data and information from many sources to
May 8, 2015 and deadline extension for Q1/2015 financial statements, due on May 15, 2015, reasoning that the company is in the process of gathering related documents and evidence for auditor
gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling person, name of the entity
) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must gather information on name, last