) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business undertaking; and; (c) allow its business to be conducted with
) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business undertaking; and; (c
, the maintenance of net capital complies with the rules as stipulated in the Notification of the Securities and Exchange Commission, as the case may be; (b) In case of mutual fund management company or
website: www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through
handle suitable portfolios for investors through different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated
position of company secretary as well? A: Yes. The Securities and Exchange Act does not prohibit such matter. The board may appoint any person who is deemed appropriate and qualified to perform the duties of
position of company secretary as well? A: Yes. The Securities and Exchange Act does not prohibit such matter. The board may appoint any person who is deemed appropriate and qualified to perform the duties of
Executives of Derivatives Intermediary, as the case may be. Clause 5 An intermediary may establish a branch office by complying with the following rules: (1) in case of domestic or oversea branch office, the
Qualification and Prohibited Characteristics of Directors and Executives of Derivatives Intermediary, as the case may be. Clause 5 An intermediary may establish a branch office by complying with the following
Executives of Derivatives Intermediary, as the case may be. Clause 5 An intermediary may establish a branch office by complying with the following rules: (1) in case of domestic or oversea branch office, the