) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must gather information on name, last
/CDD) (4) reporting of suspicious transactions under anti-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and
) reporting of suspicious transactions under anti-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and reporting of
investments in subsidiary and associated companies are not subject to the accounting standards on recording the investment by the Equity Method. It shall be record an account under the items of investments in
subsidiary and associated companies are not subject to the accounting standards on recording the investment by the Equity Method. It shall be record an account under the items of investments in debt and equity
case of any holding of investments in subsidiary and associated companies are not subject to the accounting standards on recording the investment by the Equity Method. It shall be record an account under
governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished
, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of
characteristic in Group 1 under Clause 29; (2) having a record of being punished or legally proceeding against for management in the manner of deceit, fraud or dishonesty1 relating to offences against property as
in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished for management in the manner of deceit, fraud or dishonesty relating to offences against property as