) targeted participants; (4) the course content in brief; (5) period for training and accumulated hours; (6) brief profile of lecturer; and (7) procedure for verifying attendance. 5. Evidence on activity
controlling the inflow and outflow of mutual funds’ assets; (c) Systems for verifying and enumerating mutual funds’ assets to ensure accuracy and totality; (d) Systems for making asset inventories that show the
mutual funds’ assets; (c) Systems for verifying and enumerating mutual funds’ assets to ensure accuracy and totality; (d) Systems for making asset inventories that show the details and the amount of mutual
Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in relation to sources of funds used
the Securities Industry Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in
laundering authorities or the Securities Industry Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information
limit, including the procedures for verifying information on the percentage of unit holding by such person or group of persons; (8) Other facts necessary for making a decision to invest in the investment
(if any). (3) a procedure for verifying clients’ authentication suitably and reliably to ensure that the investments or transactions related to capital market products have been executed by the clients