rating mutual fund, the investment advisory company shall comply with the rule as follows: (1) using the information supporting mutual fund rating gathered from the reliable and referable source; (2
of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must
business account receivables and derivatives business receivables It shall disclose following detail: securities business account receivables 20.. 20.. Receivables bought securities by cash xxx xxx Margin