customers who Derivatives broker does not possess mentioned information or documentation above within three years from the date this notification become effective. 18As amended by the SEC Office Notification
-classification of client). Clause 18. Securities company must perform KYC/CDD process on all existing customers within three years from the date this Notification comes into effect, except for the case that the
shall re-classify the client’s risk accordingly (re-classification of client). Clause 18. Securities company must perform KYC/CDD process on all existing customers within three years from the date this
necessary and shall re-classify the client’s risk accordingly (re-classification of client). Clause 18. Securities company must perform KYC/CDD process on all existing customers within three years from the
regulations at least fifteen [15] hours in every two calendar years as from the calendar year of obtaining an approval from the Office, of which the syllabus consist of at least three [3] hours’ study on rules
knowledge and regulations at least fifteen [15] hours in every two calendar years as from the calendar year of obtaining an approval from the Office, of which the syllabus consist of at least three [3] hours
negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such
with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such complaint has not yet been