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
case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and experience regarding
the client before opening the account. In case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives
in writing. There shall be sufficient measures to ensure that a client is the same person as the one appears on the application document, verify identification of the client, the beneficial owner and
company’s proprietary investment which may cause a conflict of interest with the mutual fund, including channels and procedures for the unit holders to verify the details and obtain additional information
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
of the personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared