company shall perform as follows: (1) Provide an effective operating system to support the operation in accordance with the standard of the Association concerning with the supervision in securities trade of
. Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client?s asset, (3) use of the client?s trading account to trade securities for herself
Secretary Provide the name, professional qualifications and address of the secretary of the issuer (if any). C. Advisers 1. Provide the names and addresses of – (a) the issuer's principal bankers to the
consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's trading account to trade
investment consultants consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's
shall provide computer or other electronic devices for services which are limited to the following operations: (1) receiving the request for opening account of securities or derivatives trading in order
case of online branch office, an intermediary shall provide computer or other electronic devices for services which are limited to the following operations: (1) receiving the request for opening account
of online branch office, an intermediary shall provide computer or other electronic devices for services which are limited to the following operations: (1) receiving the request for opening account of