management relating to securities investment or securities analysis for at least three years within five years prior to the date of submission of documents or evidence as proof of having such experience; (3
management relating to securities investment or securities analysis for at least three years within five years prior to the date of submission of documents or evidence as proof of having such experience; (3
, risk management relating to securities investment or securities analysis for at least three years within five years prior to the date of submission of documents or evidence as proof of having such
submission of documents evidence as proof of having such experience; (3) being a manager of the management company or holding any position from second to manager down to department director who take
securities analysis for at least two years within five years prior to the date of submission of documents evidence as proof of having such experience; (3) being a manager of the management company or holding
CORROSION CONTROL TECHNOLOGY as company holds 99.98 percent has resigned from authorized director therefore unable to obtain bank confirmation letter and credit bureau letter thus company has made corrections
strategy of program trading provided that there shall be evidence on the client’s confirmation of the selection of such portfolio advisory or investment strategy of program trading ; (2) have an efficent
regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital
regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital
inventory physical count process, but simply sent a confirmation letter to the consignor. The letter did not require the consignor to send correspondence directly to the auditor and the evidence was obtained