Applicant’s personal record and audit firm’s record – fast track
SEC Office. Work Areas Personal Data Contact Information Qualification data Financial Data Sensitive Data Verification Data 1. Executives, for example, directors/managers of securities companies, asset
. Work Areas Personal Data Contact Information Sensitive Data Qualification data Financial Data Verification Data 1. Information from the approval for the offer for sale and report of the results of the
Verification of Foreign Collective Investment Scheme and Announcement of Qualifying Scheme
requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without
referring to certain services of the securities firms; for instance personal loan. In such cases, the securities firms were notified that the transferred money was deposited for clients? accounts while the
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