Signatories Flashcards by Darren Villaroman | Brainscape

Q

Investor’s Undertaking

A

Principals

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Q

Attestation

A

Designated Officer of the Branch

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Q

Wealth Manager Exemption Letter

A

Clients and Branch Officer

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Q

NROSS/NOCD

A

Investors

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Q

Broker’s Trading Agreement

A

Client, Witness, Designated Officer of the Branch

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Q

Letter of Appointment

A

Principals

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Q

Risk Disclosure Statement

A

Authorized Signatories

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Q

Master Agreement

A

Branch Officer, Client

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