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
underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business
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
; (6) having any information, caution, restriction, prohibition or risk in relation to the services; (7) arranging for the acknowledgement and acceptance of the client about conditions or limitation of
) representation of the debenture issuer to mortgage, pledge or provide other collateral against the debenture within the specified period of time in accordance with Section 44; (8) procedures for, time and place of
derivatives position remaining until the settlement date. 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The derivatives broker may be unable to
at least. [M] · Providing consistently an inspection of operational recording of user . [A] · Providing a preventing measure for alteration of other record and limitation of right for only concerned
shall be made with right of recourse and without any waiver or limitation of liability of the endorser, or the guarantee shall be given unconditionally for the whole amount of principal and interest, as
official shall be an official under the Criminal Code. Chapter 8 Sanctions, Statute of Limitation and Settlement Committee _________________ Division 1 Administrative Sanction _____________ SECTION 67 The
the law on life insurance; and (4) a financial institutions established under a specific law. Clause 4 . Without the limitation or restriction to the power of the Board of directors of the SEC under