English (United States) MinistrialRegulationSEAArchive-a Sign In Our use of cookies We use necessary cookies to make our site work. We'd
acts as a Central Centerparty (CCP) for the buyer and the seller, and will guarantee clearing and settlement in all trading transactions which have occured. If one of the counterparties does not perform
acts as a Central Centerparty (CCP) for the buyer and the seller, and will guarantee clearing and settlement in all trading transactions which have occured. If one of the counterparties does not perform
will have to abide by the “Standards on Qualifying CIS", a set of common requirements designed to ensure that the participating fund managers have the necessary experience and track record in managing
oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and certifying financial statements of entities whose securities are publicly traded in
dealer means a person who provides services or holds itself out to the public as available to provide services with respect to the trading or exchange of digital assets for its own account in the normal
used to the benefit of the executives. The program must be administered by an intermediary, such as a securities company, to make it clear that an outside person who does not have access to internal
) ; The auditor's report shall not have any of the following characteristics: A disclaimer or an adverse opinion on the financial statements; A qualified opinion on any significant transaction that
) must make a list of sponsors pursuant to the decision of the board of directors, with the characteristics of each sponsor. The company must arrange to have a monitoring process for the allocation to
of Mutual Fund 17. Dividend payment A mutual fund may pay dividends from its retained earnings or net profits in the accounting periods that the mutual fund have retained earnings or net profit