specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
{A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was
Global Governance Principles are supplemented by ICGN Guidelines which are issued from time to time to elaborate on key concepts and practices. A full list of ICGN Guidelines is provided in Annex 1. Both
ensuring readiness of market participants.
will advise the SEC regarding misconduct of securities analysts in accordance with professional standards thereby ensuring transparency and fairness of disciplinary procedures. This committee will
consolidated financial statements as of 30 September 2024, ensuring that this shall not be considered an event of default under the terms and conditions; (2) A revision of the interest rearing debt to equity