University INTRODUCTION • What is the effect of regulatory jurisdiction on the behavior of financial actors? Specifically, investment adviser misconduct? • Setting: Dodd-Fank re-jurisdicts “mid-size” RIAs in
Appendix 2: National regulations Information on the laws and regulations relevant to performance of duty as Recognised Representative in each Host Jurisdiction 14 3 1. Introduction 1.1 Background Mobility of
: _____________________________________________________ Home Jurisdiction: ________________________________________________________ [ ] 1. Form 69 – CIS full (completed by CIS Operator) [ ] 2. Evidence demonstrating that NRI CIS is legally established
of foreign jurisdiction in form of public limited company; (2) Business takeover of foreign ETF under (1). Clause 2 In this Notification: (1) “foreign ETF” means collective investment scheme in
: ______________________________________________ Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full (completed by Qualifying CIS Operator) [ ] 2.* Standard letter issued by the Home Regulator
Covered Entity located in the other Authority’s jurisdiction for supervisory purposes. (g) “Domestic Law” means any applicable laws, ordinances and other regulations or requirements in each Authority’s
been filed under Paragraph 1 above. (3) document demonstrating that the collective investment scheme is established legally under the law of the jurisdiction of the home regulator; (4) a letter
Considering inventories that are 5 years or older and considering the inventories. New policy Inventory from 1 year and above and Inventory turnover. Less than or equal to 30 percent 4. Financial Ratios Include
circular disseminated in home regulator’s jurisdiction, unless such hours and days are not business hours and days of the securities company, nevertheless the securities company shall inform investors in