rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action

allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a

: “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “Closed-end fund” means a mutual fund which does not accept the redemption of

Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities

: (1) arrange to have a computer set where customer can submit a securities’ trading instructions by themselves; (2) accept a securities trading account application and forward the application to head

following duties: (1) arrange to have a computer set where customer can submit a trading instructions for derivatives contract by themselves; (2) accept a derivatives trading account opening form and forward

the following requirements: (a) accept trading orders of capital market products only at the intermediary’s temporary office; (b) require clients to send trading orders by themselves through an

submit the information on a short notice, the Office may not accept the course and the organizer will not be able to advertise the course as an accepted course for the renewal of approval for investor

instances of very favorable publicity (e.g. news) in relation to the firm’s work for an audit client? 9 How does firm deal with pressures to accept marginal /unsatisfactory accounting / disclosure, including