can demonstrate that it can perform such duties; The structure of board of directors have sufficient checks and balances; Directors/ executives/ controlling persons must not have untrustworthy
Ministerial Regulations as follows: Clause 1 Person eligible to apply for license to undertake securities business in the category of inter - dealer brokerage shall- (1) not have shareholder or controlling
of inter - dealer brokerage shall- (1) not have shareholder or controlling person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records
) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
with law controlling business undertaking of such legal entity; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within
toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial
SEC Search Search From : Home > Search > Search Results search: Sitemap Any Sitemap Law and Regulations ( 33 ) Documents aspx ( 31 ) http://172.19.1.196:8983/solr/secweb/select?q=electrical control
life insurance, as the case may be, such applicant shall- (1) be able to maintain capital funds and set aside reserve capital in accordance with law controlling business undertaking of such legal entity
=electronic possession OR "electronic possession" OR "electrical ownership" OR "electrical control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype