seeking to benefit from difference or change in price: (1) cash: (2) bank deposit or negotiable certificates of deposit of a financial institution which may be redeemed without any redemption period limit
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
person who purchases or redeems the investment units with incorrect unit price, or any payment with a value equivalent to the difference between the incorrect unit price and the correct unit price in lieu
equivalent to the difference between the price or value of goods or variable specified in the contract and the price or value of such goods or variable prevailing at a given time or period of time in the
its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due
2. In case the value of investment units of a closed-end fund is incorrect and such value has been announced, provided that the difference between the incorrect unit value and the correct unit value
investments means the difference between the book value and fair value of investment, which is determined by the Accounting Standard to be reported in the shareholders’ equity. 25. Retained earning (deficit
to make payment to the other party, or vice versa , in the amount which is equivalent to the difference between the price or value of goods or variable specified in the contract and the price or value
Division 4: Register and Transferability of Chapter 2: Issuance of Securities or Section 88, in whole or in part. SECTION 33/2.5 In case of an offering for sale of newly issued securities in the category
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform