registered person shall maintain qualifications as prescribed under Clause 2 and in cases where such qualifications cannot be maintained, such registered person shall notify the Office in writing and provide
person shall maintain qualifications as prescribed under Clause 2 and in cases where such qualifications cannot be maintained, such registered person shall notify the Office in writing and provide the
) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or documents which can
official regulator; (4) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or
interest of investors. (3) disclose or provide important and relevant information sufficient for investors’ decision making; (4) keep investors’ confidentiality; (5) carefully perform duties to avoid
, care, prudence and in the best interest of investors. (3) disclose or provide important and relevant information sufficient for investors’ decision making; (4) keep investors’ confidentiality; (5
Company and its shareholders resulting from the transaction. In addition, the objective of this report is merely to provide an opinion on the transaction to the Company’s shareholders only. Notwithstanding