appropriate amount of paid-up registered capital by taking into account the nature of business and associated risks can lighten the burdens of intermediaries, especially small-sized securities companies or
Acting in Concert as a Result of the Nature of a Relationship or Behaviour and Requirements Under Sections 246 and 247 (No. 2)
Acting in concert as a result of the nature of a relationship or behaviour and requirements under Sections 246 and 247
presented research paper on ?Saving for Retirement?. The researchers pointed out that saving and investment in risky assets at a young age is the key success factor of sufficient retirement savings while
, image or in any other form conveying content by its own nature or by any means. “advertising through media” means an advertising of offer for sale of units through newspapers, advertising boards, radio
address of the representative, and the nature of any material relationship between the representative and the issuer or its affiliates to indicate whether a conflict exists between its interest as the
/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities