. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date
whose names appear on the register of unitholders on the dissolution date of the mutual fund money or assets remaining after the payment of debts; (5) applying for registration of the dissolution of the
remaining balance of the margin of customer, marked to market, with respect to the derivatives contract; (2) the amount and type of asset exceeding the amount of the maintenance margin. Clause 6 A derivatives
client upon making delivery according to such client’s derivatives positions; (5) remaining cash from a sale of a client’s securities held under the name of a derivatives broker due to the client’s default
remaining period of approval as category B investor contact. Clause 9. Any person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an investor contact
to the extent that it is not contrary to the purpose of the creation of trust. SECTION 21 In cases where the SEC Office has issued notifications specifying additional particulars and statements under
shall retain office for the remaining duration of the full term of the Chairman or commissioner whom he replaces. ( During the period when no appointment of the Chairman or a commissioner of the SEC has
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and