(1) Where a securities firm violates provisions to entrust other unit or individual to undertake activities of client solicitation, client service or product sale.

She's an old patient.

Article 33 A securities firm shall not entrust other agency or individual to attract customer, or hold customer service or product sales that are violating regulations.

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Inside the customer securities guarantee account and customer funds guarantee account opened in the name of the securities firm, a separate credit granting account shall be opened for each customer.

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No. of shanty units

(c) A focused global unit addressing portfolios for which client decision making takes place at the corporate level.

No units or individuals shall force, incite, assist or accept the securities firm to provide financing or warranty with the assets of the securities brokerage customers or securities assets management customers.

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Customer identification and knowledge of the customers

This leaflet is issued to customers of local banks opening new accounts or where banks are updating their individual customer records.

The first is Take core positions with your client.

The law should provide that, if the account holder and the depositary bank have agreed on the law of a specified territorial unit of a multi unit State

Other than for the debts of the customers themselves or for other circumstances stipulated by the law, no units or individuals can apply to seal up, freeze or enforce the customer s trading settlement funds and trusted funds.

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The two offices will also develop other new joint promotional initiatives, including issuing vouchers for free guided tours to the clients of the Sales and Marketing Section.

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It covers not only the account opening process for various types of new customers, such as individuals, companies, trust and nominee accounts, introduced customers, non face to face customers, respondent banks and politically exposed persons, but also the ongoing monitoring process for existing customers.

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Her name's Wonderly.

Article 57 Where a securities firm carries out securities brokerage business, its customer s trading settlement funds shall be deposit in the designated commercial bank, and shall be managed separately in the name of each customer.

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And they will say, Would you mind if I serve the next customer?

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