the case of giving advice by individuals or investment experts or in the case where a website or electronic media collects or processes data and publishes data, there is, therefore, an issue of
gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling person, name of the entity
mutual funds under its management; (3) the fee for selling and accepting redemption of investment units shall be at the rate of 1 percent, calculated from the fee income that the licensee collects from
the date on which the securities underwriter collects money from subscribers. Such subscription money shall not be used for any other business; (2) make an agreement with an offeror in the following
within the next business day from the date on which the securities underwriter collects money from subscribers. Such subscription money shall not be used for any other business; (2) make an agreement with
or documents given by a client, the intermediary shall review and update such information without delay by taking the following actions: (a) gather and recheck information in addition to the normal
73 The SEC Office shall gather the facts relating to the commission of an offence which falls under the administrative sanctions and shall also have the power to exercise an initial consideration in
) gather and allocate asset deemed to be owned by customer in order to return them to the customer; (2) transfer account and asset deemed to be owned by customer to other derivatives business operator; (3