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 Securities Company

Feb 3 2014

VA1_1391507838.pdf

Download Count : 57
V.A.1 Securities Company Licensing Procedures

V.A.3. Licensing Procedures for A Securities Company Conducting Business As An Investment Manager

V.C.3 Securities Pricing Agency

V.D.1 Supervision of Representatives and Employees of Securities Company

V.D.3 Internal Controls and Book Keeping of Securities Companies

V.D.4 Control and Protection of Securities Deposited with a Securities Company

V.D.5 Maintenance and Reporting of Net Adjusted Working Capital

V.D.6 Financing for Securities Transaction Settlement by Securities Company for Clients

V.D.7 Principal Provisions Regarding Subordinated Loan Agreement by a Securities Company

V.D.8 Activity of A Securities Company in Various Location

V.D.9 Guidelines For Agent Agreement Of Member Of Stock Exchange Securities Company

V.D.10 Know Your Client Principles

V.E.1 Code of Conducts for Securities Companies Acting as Broker-Dealers

V.F.1 Code of Conducts for Securities Companies Acting as Underwriters

X.E.1 Obligation to Submit Periodical Reports By Securities Companies

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Securities Company, Security Company Representative, Investment Consultant, Mutual Fund Selling Agent - Bapepam Classification
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