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regulations. Whereas the laws or regulations that are no longer necessary or outdated, or become obstacles to public livelihood or occupation will be repealed or revised to eliminate burden on people and
gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling person, name of the entity
name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling person, name of the entity, shareholding structure of the entity
), the securities company must gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
% 13% 11% Undergraduated Degree 327 928 138 1393 74% 59% 58% 62% Master Degree or Higher 77 461 70 608 17% 29% 29% 27% Total 444 1573 238 2255 100% 100% 100% 100% Investor Types TotalEducation Occupation
work perspective in its job descriptions and evaluation forms? 6 Does the firm establish the career progression route and how are senior managers/directors promoted – what criteria are used? What is the
of spouse ……………………………………………………... Former name (of spouse) ………..…………………………………... Occupation …………………… working place ….…..… 2.7 Number of children …..persons (if any) (in case of change of children’s
change to the SEC Office within seven days from the effective date of the change specifying therein the effective date of such change. Clause 3. The SEC Office shall notify the derivatives business