a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient processes to ensure that the client is the same person whose identity
deemed to have been granted an approval to act as a mutual fund manager. In this regard, such person may perform duties as a mutual fund manager and a private fund manager in the same management company if
approval to act as a mutual fund manager. In this regard, such person may perform duties as a mutual fund manager and a private fund manager in the same management company if such management company is also
Consideration of the application for opening of the derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one
derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one appearing in the documents and evidence used for opening
person’s names, or avoids using his own name to open an account or process the transaction; (2) the client insists to open several accounts of the same type for no apparent reason, which might indicate an
conduct transactions under other person’s names, or avoids using his own name to open an account or process the transaction; (2) the client insists to open several accounts of the same type for no apparent
the same type for no apparent reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to