and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true
personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature
procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to choose a service or make an
and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
policies and procedures 2 Does the firm have channels for firm personnel to raise any concerns in a manner that enable them to come forward without fear of reprisals? If yes, please describe 3 Does the
following qualifications intends to participate in a regulatory sandbox , the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in
person having the following qualifications intends to participate in a regulatory sandbox , the person shall submit an application for approval to the SEC Office together with accurate and complete
consider and notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents, except for the case that the system
by the SEC Office on the SEC Office’s website. Clause 7 1 In the case where the SEC Office considers that the applicant has the correct and complete qualifications as specified under Clause 4 and