money which the client is entitled to be paid by the securities company , for payment of the client’s outstanding debt; (d) termination of an agreement. An agreement made between a securities company and
held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to accepting sale orders or clearing the outstanding positions of capital
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of
duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office expects the
time, the securities company may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the securities company
mean time, the derivatives brokers may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives
procedures assign responsibility for review of all reports, financial statements, and working papers to a reviewer who is senior to the preparer? If yes, please describe the policies and procedures If no, how