derivatives business. SECTION 25. 2 Unless an approval of the SEC Office has been obtained, no person can hold shares or be a beneficial owner of shares of any derivatives business operator exceeding ten
information: (1) personal information of the client or beneficial owner and information of their representative (if any); (2) information pertaining to ability to repayment and the source of income used for
information: (1) personal information of the client or beneficial owner and information of their representative (if any); (2) information pertaining to ability to repayment and the source of income used for
information: (1) personal information of the client or beneficial owner and information of their representative (if any); (2) information pertaining to ability to repayment and the source of income used for
Principles of Corporate Governance - G20 version G 20/O E C D P rin c ip le s o f C o rp o ra te G o ve rn a n c e G20/OECD Principles of Corporate Governance ENG_Corporate Governance Principles_Cover.indd 3 27-Aug-2015 6:43:10 PM G20/OECD Principles of Corporate Governance OECD Report to G20 Finance Ministers and Central Bank Governors September 2015 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 3 Note by the OECD Secretary-General G20 Finance Ministers and Central Bank Governors Meet...
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
accounting standards and the internal control environment. - Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. - Indications of an inappropriate limitation in
opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a
, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a natural person who ultimately owns the account, or has significant interests
business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a natural person who ultimately