a third party such as an audit firm, a law firm, or any other juristic person? A: Yes. The law does not specify any prohibition on the matter. The appointee can be either an ordinary person or a
a third party such as an audit firm, a law firm, or any other juristic person? A: Yes. The law does not specify any prohibition on the matter. The appointee can be either an ordinary person or a
refrain from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are
from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are
(name of agency)....…………………....……..…..(document attached) (if any) O no 6.14 Pending under prohibition to be or act as a director, manager, or person with managing power or an advisor of a financial
prohibition to be or act as a director, manager, or person with managing power or an advisor of a financial institution: O yes O no 6.15 Pending under the period prescribed by an order of the Office to be
prohibition to be or act as a director, manager, or person with managing power or an advisor of a financial institution: O yes O no 6.15 Pending under the period prescribed by an order of the Office to be
custody of clients’ assets shall be made in writing. Such contract shall have a prohibition of an appointment of a sub-agent, and indicate terms and conditions relating to the responsibility of the agent
writing. Such contract shall have a prohibition of an appointment of a sub-agent, and indicate terms and conditions relating to the responsibility of the agent and the person to be responsible for damage of
writing. Such contract shall have a prohibition of an appointment of a sub-agent, and indicate terms and conditions relating to the responsibility of the agent and the person to be responsible for damage of