determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and
company has determined or has agreed in advance to allow any legal entity or individual to be the shareholder, either directly or indirectly, in the amount exceeding ten percent of the total number of
Online Submission CA - Download Forms / Manuals Derivatives Advisor Licensed Derivatives Advisor | Registered Derivatives Advisor | Licensed Derivatives Advisor (Individual) Company Name Head Office Data
+OR+%22electronic+property%2... ICGN%20Institutional%20Investor%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of beneficiaries and clients. Asset
Notifications relating to Issuance and Offer for Sale of Securities; or (b) being individual investors or juristic persons that have a stable financial status and a potential to an actual investment as well as
and Offer for Sale of Securities; or (b) being individual investors or juristic persons that have a stable financial status and a potential to an actual investment as well as have knowledge, skills
) being individual investors or juristic persons that have a stable financial status and a potential to an actual investment as well as have knowledge, skills, experience or potential in a manner that
increase by 10.7 MB or 57.5% y-o-y consisting of revenue from space rental of “The Brio Mall” which plans for site development plan, screens more variety of shops including setting up interesting activities