evidentiary documentation retrievable for inspection by the SEC Office. Division 2 Specific Rules for Execution of Transactions for a Fund with a Management Company or a Connected Person _________________
the purchaser for the outstanding amount. A part of the proceeds from the disposal of assets were used to pay down on the bank overdrafts and short- term loan outstanding in March 2017. The Company
for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising
clients’ execution of transactions closely. While reviewing and revising the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to
derivatives broker shall provide evidence relating to derivatives trading as follows: (1) evidence relating to the taking and execution of customer’s derivatives trading order containing at least the details of
Legal Execution Department during the period4 1,383.38 1,791.13 7,200.5 317.04 5,797.92 796.93 Total Cash collected from NPL management business5 9,159.42 10,791.20 14,058.6 1,800.10 7,243.97 2,631.92
9,000.07 6,858.1 1,483.07 1,446.05 1,834.99 Cash collected from the Legal Execution Department during the period4 1,383.38 1,791.13 7,200.5 317.04 5,797.92 796.93 Total Cash collected from NPL management