account opening application. Reasonable processes shall be established to ensure that the client is the same person as the one appearing in the documentation in support of the application, and verify the

account opening application. Reasonable processes shall be established to ensure that the client is the same person as the one appearing in the documentation in support of the application, and verify the

risks relating to the receipt of cross-border collateral to ascertain that such collateral may be enforced in an appropriate and timely manner. Clause 10 This Notification shall come into force from 1

calculation method shall be reviewed at least once a year; (10) determination of methods for identification and mitigation of risks relating to the acceptance of cross-border collateral to ascertain that such

appropriateness and the sufficiency of the information for supporting the investors to make a decision for investing and [ii] measures for protecting the investors. In this regard, the SEC Office may determine an

application and the evidentiary documentation as prescribed in the Licensing Manual for the Public, the SEC Office shall ascertain the facts in accordance with the procedure and method as prescribed in the

the company. Monitoring Activities 16. The organization monitors and evaluates to ascertain whether the components of internal control are completely present and suitably functioning. Questions Yes No

Licensing Manual for the Public, the SEC Office shall ascertain the facts in accordance with the procedure and method as prescribed in the Licensing Manual for the Public, and notify in writing the skeptical

risks and sufficiently determine other audit procedures to consider the cause of such discrepancy and impact on accuracy of other accounts. Moreover, he did not determine any procedure to verify the

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