holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling derivatives contracts; 1
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
form of community web board shall not be liable to presenting oneself to the general public as being ready to provide services as investment advisor or derivatives investment advisor on the condition 2
form of community web board shall not be liable to presenting oneself to the general public as being ready to provide services as investment advisor or derivatives investment advisor on the condition 2
a derivatives contract related to securities, either for oneself or other persons, except in the following cases: (a) action in compliance with the law, the court’s order, or the order of an agency
his/her signature; however, if the cause of such person’s inability to affix signature is the inability to appreciate the nature of one’s act or to control oneself owing to physical or mental illness
is a result of such person being unconscious or unable to control oneself due to a physical illness or a mental disorder, the offeror is not required to have such person affix signature in the
accordance with Chapter 3 unless qualified for the exemptions under Chapter 2: (1) spouse or cohabiting couple; (2) minor child; (3) juristic person wherein oneself and the persons in (1) and (2) hold shares
client or the ultimate beneficiary to identify oneself to the official of the intermediary; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution
client or the ultimate beneficiary to identify oneself to the official of the intermediary; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution