not represent the ultimate shareholders, for example, those identified as a holding company or a nominee account, identify the persons or the group of persons who are genuinely the ultimate shareholders

clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the client’s true identity (client

following:- (1) identify the client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s

objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of

debt securities, highlight the riskiness of securities on the cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt

to be in the enterprise’s acceptable range (risk appetite); (4) establishment of IT risk indicators for risks identified under (1) and arrangement of monitoring and reports of such indicators for

), amount of capital to be raised, number of units offered, offering price, type of unredeemable units; - Specify the purpose of the REIT fundraising; in case of real estate investment purpose, identify the

subordinated to other securities holders or creditors, identify, as of the most recent practicable date, the aggregate amount of outstanding 5 indebtedness that is senior to the subordinated debt securities

developer from the system administrator that perform in the production environment. o Providing a written job description which identified clearly duties and responsibilities of each type of work and

cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt securities are listed and/or admitted to trading, or are