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SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
. • Recognise that the past performance of an investment is not an indication of future returns. 4 A. AWARENESS AND KNOWLEDGE, i.e. can B. SKILLS AND BEHAVIOURS, i.e. will C. ATTITUDES, CONFIDENCE AND MOTIVATIONS
Criteria for Offering for Sale of Newly Issued Securities with a Tender Offer for the Existing Securities of Listed Companies for Restructuring of Shareholding and Management
warrant (existing + this time), not including ESOP Pa id-up registered shares + shares offered for sale with warrant at this time Terms of
for the investment fund allocated to two affiliates ? Sport Event International Inc. and Global Legend Series Ltd. Services Ltd. ? even though there had been an indication that the value of the
been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC