) which obtain a securities business license in the category of securities brokerage not limited to debt securities or investment units; (3) a person who obtains derivatives business license in the category
securities business license type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the
for transactions, requirement to obtain approval from or report to senior management, face-to-face contact with the client or his ultimate beneficial owners or ultimate controlling persons, assessment
relation to sources of funds used for transactions, requirement to obtain approval from or report to senior management, face-to-face contact with the client or his ultimate beneficial owners or ultimate
, information gathering in relation to sources of funds used for transactions, requirement to obtain approval from or report to senior management, face-to-face contact with the client or his ultimate beneficial
other persons in a manner which is similar to or which is in competition with the operation of the management company except where the management company can show that its organizational structure does
results Sort by: Relevance Date (Newest) Date (Oldest) QAQR-06.xlsx institution, insurance, construction, digital assets ) obtain/maintain the required specialist knowledge? Does the firm have special