market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their
investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This
for the 3rd quarter of Year 2018 and 2019 were 19.9% and 15.5%, respectively. This assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and
assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and infrastructure expenses. Financing Costs The financing costs of financial institutions
whitewash waiver Providing opinions to the shareholders regarding the application for a waiver from making a tender offer; Reviewing to comprehend the assumptions, policies and operational plans of the waiver
whitewash waiver Providing opinions to the shareholders regarding the application for a waiver from making a tender offer; Reviewing to comprehend the assumptions, policies and operational plans of the waiver
benefits. Insightful: Ability to comprehend all relevant aspects of issues in their entirety, including causes and factors affecting the capital market, in order to respond appropriately. Collaborative
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
intermediaries is available here . ● A claim for damages should be made directly to the compliance unit of the company in charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of