) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating securities to each person, categorized by underwriters, and submit it to the SEC Office together
largest allocated persons, together with the reason for allocating securities to each person, categorized by underwriters, and submit it to the SEC Office together with reports on securities sales results
fair allocation procedures, such securities underwriter shall also proceed as follows: (a) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating
as follows: (a) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating securities to each person, categorized by underwriters, and submit it to
contribute to good stewardship and promote the delivery of the institution’s or its clients’ investment objectives. They should provide a clear rationale for their approach. 4. The Financial Services Authority
Commission ______________________________________________________________________ Remark : The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker
______________________________________________________________________ Remark: The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore
. Notified this 5th day of November 2008. (Vijit Supinit) Chairman The Securities and Exchange Commission ______________________________________________________________________ Remark: The rationale for
____________________________________________________________________ Remark: The rationale for issuing this Notification is to determine an undertaking not deemed as a derivatives dealer to cover offer to trade or trade in derivatives for his own account with person
Commission __________________________________________________________________ Remark: The rationale for issuing this Notification is to determine fee for business undertaking for licensee to undertake business