Exchange Commission concerning Determination of Additional Types of Juristic Person Classified as Institutional Investor. Chapter 1 Registration _____________ Division 1 Types of Juristic Rerson and
Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a
specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country
. Using the client’s identification card left with her to verify the identity, the password of the authorized person to approve the unit redemption transactions, and the client’s internet banking account
business operator who is a wallet provider to enable identification of the clients who make transactions in the system; (3) To prohibit the digital asset business operator from providing
take the issue into consideration. The proposed revisions will include requirements on (i) adequate numbers of investor contacts, (ii) presentation of seller (i.e. showing of identification card), (iii
) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties