Found 136 results for “financial transaction” in 201ms

EFTA02238041.pdf PDF

DataSet-11 EFTA02238041 5 pg

…Changes in rates of exchange may have an adverse effect on the value of investments. Transactions involving financial instruments mentioned herein may not be suitable for all investors. TOUR does not accept any liability whatsoever for any losses (whether direct…

EFTA02238082.pdf PDF

DataSet-11 EFTA02238082 6 pg

…Changes in rates of exchange may have an adverse effect on the value of investments. Transactions involving financial instruments mentioned herein may not be suitable for all investors. TOUR does not accept any liability whatsoever for any losses (whether direct…

EFTA02443933.pdf PDF

DataSet-11 EFTA02443933 9 pg

GREATER PACIFIC CAPITAL LTD. PO Box 940 GT CAYMAN FINANCIAL CENTRE. 27 HOSPITAL ROAD GEORGE TOWN. GRAND CAYMAN. CAYMAN ISLANDS TEL: +44 (0) 207 935 6752 David Stern Asia Gateway Limited (China) Rm 310,…

EFTA02687149.pdf PDF

DataSet-11 EFTA02687149 26 pg

…02014054 EFTA02687149 Summary • Cagera is potentially world' s biggest financial data company - It is launching an industry owned governance Platform/Network "Byhiras" which will provide institutions with transparency and control over their investments…

EFTA02462281.pdf PDF

DataSet-11 EFTA02462281 3 pg

…securities broker-dealers, mutual funds, futures commission merchants and introducing brokers in commodities ("covered financial institutions") identify the=beneficial owners of their legal entity customers. The final rule also requires that these covered financial institutions incorporate customer due diligence procedures into…

EFTA02710577.pdf PDF

DataSet-11 EFTA02710577 4 pg

…for wires/ transactions; potential misappropriation of photocopied signature by use of email. EFTA_R1_02122766 EFTA02710578 o Transiti…

EFTA02710418.pdf PDF

DataSet-11 EFTA02710418 4 pg

…for wires/ transactions; potential misappropriation of photocopied signature by use of email. EFTA_R1_02121603 EFTA02710419 o Transiti…

EFTA02711179.pdf PDF

DataSet-11 EFTA02711179 9 pg

…Years = ISSUES 1. Does a change in accounting method under IRC § 446 occur when Taxpayer no longer treats certain securities transactions as "options?" 2. If a change in accounting method does occur when these transactions that were treated as…

EFTA02246392.pdf PDF

DataSet-11 EFTA02246392 4 pg

…who (1) are capable of evaluating investment risks independently, both in general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise independent judgment in evaluating the recommendations of any broker-dealer…

EFTA02284603.pdf PDF

DataSet-11 EFTA02284603 3 pg

…who (1) are capable of evaluating investment risks independently, both in general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise independent judgment in evaluating the recommendations of any broker-dealer…

EFTA02256531.pdf PDF

DataSet-11 EFTA02256531 3 pg

…who (1) are capable of evaluating investment risks independently, both in general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise independent judgment in evaluating the recommendations of any broker-dealer…

EFTA02276219.pdf PDF

DataSet-11 EFTA02276219 3 pg

…who (1) are capable of evaluating investment risks independently, both in general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise independent judgment in evaluating the recommendations of any broker-dealer…

EFTA02276286.pdf PDF

DataSet-11 EFTA02276286 4 pg

…as defined within FINRA Rule 4512(c), who (1) are capable of evaluating investment risks independently, both in general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise independent judgment in…

EFTA02257245.pdf PDF

DataSet-11 EFTA02257245 3 pg

…who (1) are capable of evaluating investment risks independently, both in general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise independent judgment in evaluating the recommendations of any broker-dealer…

EFTA02276703.pdf PDF

DataSet-11 EFTA02276703 2 pg

…who (1) are capable of evaluating Investment risks Independently, both in general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise independent judgment in evaluating the recommendations of any broker-dealer…

EFTA02275740.pdf PDF

DataSet-11 EFTA02275740 3 pg

…who (1) are capable of evaluating investment risks independently, both in general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise independent judgment in evaluating the recommendations of any broker-dealer…

EFTA02276661.pdf PDF

DataSet-11 EFTA02276661 2 pg

…who (1) are capable of evaluating investment risks independently, both in general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise independent judgment in evaluating the recommendations of any broker-dealer…

EFTA02276169.pdf PDF

DataSet-11 EFTA02276169 3 pg

…who (1) are capable of evaluating investment risks independently, both in general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise independent judgment in evaluating the recommendations of any broker-dealer…

EFTA02276283.pdf PDF

DataSet-11 EFTA02276283 3 pg

…who (1) are capable of evaluating investment risks independently, both in general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise …

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