with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23
with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23
clearing and settlement related to or because of a client’s derivatives trading. The benefits, the controlling power or the financial support under Paragraph 1 may arise from an agreement, an understanding
proceeds thereform to invest in, or procure for profit from holding in, securities, derivative, or any other properties, or invest in or procure for profit by other means.” * Readers should be aware that
procure raw materials independently, while also independently selling and distributing their corresponding PTA and PET. The plant is the largest in North America with state of art technology and is a
any of the following capital market products without solicitation for investment, who performs duties as an investment consultant under a signatory member of the Memorandum of Understanding on the ACMF
investment analyst by a regulator in an ASEAN country which is accepted by the SEC Office.1 1 an ASEAN country which is accepted by the SEC Office means a signatory to the Memorandum of Understanding on the
securities for itself, a securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing
any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise
any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise