English (United States) Offering Of Investment Units × Home > Laws/Regulations > Regulations
English (United States) Offering Of Investment Units × Home > Laws/Regulations > Regulations
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advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having
advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having
Securities Dealer о Derivatives Dealer • Advisor о Securities Investment Advisors о Derivatives Advisors • Securities Underwriter • Limited BDU • Bond Dealer
Companies Report Forms Outsourcing Activities Appointment of an Investment Advisor (IA) according to Section 100 Securities Business Derivatives Business 1. Securities brokerage 1
asset is generating or expected to generate revenue of not lower than 80% of the total income of the aggregate entity. Investment categories An IFF can choose to invest in following categories as
asset is generating or expected to generate revenue of not lower than 80% of the total income of the aggregate entity. Investment categories An IFF can choose to invest in following categories as
making an investment decision, or misled investors in a manner of concealing or disguise or making up non-existing facts. 6. The transfer restriction is registered, including an application for an approval