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Investment Advisors Name & CodeSubBrokers Name & CodeARN82793DATEFOLIO NO.RUIN (Mandatory)E068403DD / MM / YYYYSIGNATURE(S)I/We hereby confirm that the RUIN box has been intentionally left blank by
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Locate the section on the form that requests the sub-brokers name and code.
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Write the sub-broker's name in the designated space. This should be the legal name of the sub-broker or the name registered with the authority.
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Write the sub-broker's code in the designated space. This code might be provided by the authority or organization, or it could be a unique identifier assigned by the sub-broker's firm.
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Sub-brokers name and code may be required by various entities such as financial institutions, regulatory bodies, or organizations involved in the securities market.
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Entities that require sub-brokers name and code might include stock exchanges, clearing corporations, depositories, or other intermediaries involved in the trading and settlement process.
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Additionally, investors or clients who wish to engage the services of a sub-broker may also need to know their name and code to ensure they are dealing with a registered and authorized individual or firm.
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Sub-brokers name and code refer to the identification details of the sub-broker appointed in a particular transaction.
The broker or intermediary involved in a transaction is required to file the sub-brokers name and code.
The sub-brokers name and code can be filled out in the designated sections of the transaction documents or reporting forms.
The purpose of sub-brokers name and code is to track and identify the specific sub-brokers involved in a transaction for regulatory and compliance purposes.
The information to be reported on sub-brokers name and code includes the name, identification code, and contact details of the sub-broker.
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