committee aims to proactively identify key risks and issues relevant to growth and emerging markets, as well as enhance regulatory capacity for these countries, which account for 80 percent of IOSCO members
account, pay-in slip, transfer-deposit-withdrawal slips, statement report, solicitation documents/contracts, and a certified copy of personal checks and other evidence relevant to and useful for the SEC
Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full
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37 Principles, which can be mainly separated into two main groups: principles for regulator and principles relating to market participants. The assessment grades are divided into four categories: (1
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systems that may cause damage to investment, fund management inconsistent with prospectus, and incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants
details on the evidence list. Besides, the Law requires only the procedure for taking evidence by the plaintiff and the defendant, i.e., the sequence of examination, cross-examination and re-examination. In