, obtain and verify clients' identification documents, as well as to report certain transactions to anti-money laundering authorities. The duties required under such legislations pose a different type of
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
consent of the client in writing in each case. Clause 11. A securities company shall proceed as necessary for clients to obtain rights and benefits arising from securities or any instruments in the custody
the case where the derivatives broker will engage in a derivatives contract with a client as a counterparty, the derivatives broker shall inform the client of such position and obtain a written consent
(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible
discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the personnel under the first paragraph are required to obtain an approval from the SEC
take necessary actions for its clients to obtain the rights and benefits arising from any securities or instruments owned by the clients which are under its custody from the issuers of such securities or
and the audit firm consents inspectors of the SEC to inspect the audit quality system when the SEC requires. 3. I consent to prepare and deliver information that the audit firm will prepare or obtain
personnel under the first paragraph are required to obtain an approval from the SEC Office before they perform their duties, the intermediary shall govern them to be approved person according to such