information owner give other user the right to reach or modify his information such as share file etc., it shall give the right for specific person or specific group only and cancel such right when there is no
underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
derivatives position remaining until the settlement date. 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The derivatives broker may be unable to
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
to receive financial incentives in order to favor the interest of one client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
shall be made with right of recourse and without any waiver or limitation of liability of the endorser, or the guarantee shall be given unconditionally for the whole amount of principal and interest, as