maintain net capital in compliance with the governing law and its inappropriate and insufficient management structure and personnel, Zipmex may be liable to offenses related to client assets, which may
) international financial institutions; (8) government agencies and state enterprise under budget procedure law; (9) the Financial Institutions Development Fund; (10) the Government Pension Fund; (11) provident
than the juristic person under (8); (7) international financial institutions; (8) government agencies and state enterprise under budget procedure law; (9) the Financial Institutions Development Fund; (10
than the juristic person under (8); (7) international financial institutions; (8) government agencies and state enterprise under budget procedure law; (9) the Financial Institutions Development Fund; (10
and financial reports of initial public offering (IPO) and public offering (PO) companies.The proposed rules would require that the CFOs and accountants of the IPO and PO companies maintain thorough
the clients do not claim their assets, Zipmex must deposit them in a trusted and secure system to protect the clients’ interests. Due to its failure to maintain net capital in compliance with the
or national authority should not state or imply that the authority endorses its credit ratings or use its registration status to advertise the quality of its credit ratings. A-13 3.2 A CRA should
PE Trust status with the SEC and transfer unit trusts to others in accordance with the investment and condition requirements as prescribed by the Revenue Department. Currently, PE trustees are required
, shareholding structure of the entity, nature of business, place of incorporation, place of operating business, financial status, objective of transaction, as well as all documents concerning identification data
, nature of business, place of incorporation, place of operating business, financial status, objective of transaction, as well as all documents concerning identification data. In this regard, all information