Advisors are Broker/Dealers. • Broker/dealers must obey “suitability” standard of conduct but not “fiduciary duty” • Broker/dealers are regulated by FINRA REGULATORY REQUIREMENTS Provide regulator with

(HK) is regulated by the Securities and Futures Commission of Hong Kong ("SFC") under Hong Kong laws, which differ from Australian laws. This presentation is directed at wholesale investors only. China

material that is not directed to, or intended for distribution to or use by, any person or entity who is a citizen or resident of or located in any locality, state, country or other jurisdiction where such

violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction

statements. Accordingly, TIES must submit to the SEC and publicly disclose the financial statements, urgently. Earlier, the SEC had directed TIES to rectify its 2014 financial statements due to the auditor’s

Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the

a pandemic situation. Crédit Mutuel Arkéa Financial Institution Affordable housing Loans dedicated to the financing of regulated social housing schemes including: • Prêt d’Accession Sociale (PAS): low

and selling investment products through different channels. • Check and keep transaction records to confirm they are accurate and genuine. • Use a licensed/regulated financial service provider

17021 Train-the-Trainer Program Training, accreditation and regular CPD events Assurer Training and Accreditation Program UNDP-DUKE IMM for the SDGs - free Coursera online self-directed training course

)Direct firms become more tied and sensitive to Bitcoin. Implications  Stock market: more regulated and protected  Crypto market: scams and frauds  The stock market offers a somewhat safer opportunity to