: ...................................................... (…………………………………………….) Authorized person Date: ......................................... Remarks: 1. In case of authorization for submission of documents, a power of attorney is required. 2. In case of a juristic person, the
retention, these are stored in safe places in the SEC Office, i.e., central cabinets with locks. Document access is set by authorization and records of users are kept, etc. Complete documents are stored in
applicant. In case the application is submitted by an authorized person and the evidentiary documentation is incorrect or incomplete, the authorized person must show a written authorization from the applicant
Re: Application Form for Permission for Offer for Sale of Newly Issued Debt Securities and Reporting (No.2)
permission to work or stay under the applicable laws of the Host Jurisdiction. In addition, ACMF Pass is country specific. A foreign Professional needs to apply for an ACMF Pass from each Host Jurisdiction he
}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written authorization letter. From the recorded conversation
Thavaramara said: ?The SEC strongly advises against pre-authorization on blank forms or documents of any kind to prevent investment consultants from using such documents to seek unlawful personal gains. Also
not to allow investment consultants to make investment decisions for them. In case of assigning other persons to send trading orders on investors’ behalf, a written authorization is required. In any
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
: ...................................................... (…………………………………………….) Authorized person Date: ......................................... Remarks: 1. In case of authorization for submission of documents, a power of attorney is required. 2. In case of a juristic person, the