in value of the investment in the shares of the buyer at the same share price. The auditor has not been able to obtain sufficient and appropriate evidence to verify the gain on sale of the investment
such legislations, securities companies are required to conduct know-your-customer, obtain and verify clients' identification documents, as well as to report certain transactions to anti-money laundering
relation to the temporary freeze or seizure of assets. Moreover, under such legislations, securities companies are required to conduct know-your-customer, obtain and verify clients' identification documents
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
. (Translation) -4- 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 of securities company, or the
broker shall inform the client of such position and obtain a written consent from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to
2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ฆ 2.2 Inability to obtain sufficient appropriate audit evidence and the possible effects are material, but not pervasive
, unless given a written order or consent from the client, on a case-by-case basis. 5 Clause 11 A securities company shall take necessary actions for its clients to obtain the rights and benefits arising