the qualifications under Clause 3(6), (7), (8) and (9) as provided in the application except where there is any difference in detail to the extent that it will not materially change the qualifications
licensee has satisfied the qualifications under Clause 3(6), (7), (8) and (9) as provided in the application except where there is any difference in detail to the extent that it will not materially change
Provisions _______________________ Chapter 1 Scope of the Notification and General Requirements ________________________ Clause 4 This Notification provides criteria relating to the offering of debt securities
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trust)—may be managed by entities other than asset management companies (CIS operators). These entities are, however, supervised by foreign securities regulators that are ordinary members of IOSCO
supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace
(if any); (1) policy disclose business operation policy of REIT to not get involved in corruption 11 activities including request for, receive, and pay for any bribe. In this case, scope of operation
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for