unlawful exploitation; (10) having compliance system in accordance with the Notification of the Capital Market Supervisory Board concerning Establishment of Compliance Unit of Intermediaries; (11) having
] has certain behaviors indicating unlawful acts subject to administrative sanction; (4) “authority” means the SEC, administrative panel and the SEC Office, as the case maybe; (5) “administrative panel
client or the ultimate beneficiary to identify oneself to the official of the intermediary; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution
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
proportions). In case of a subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are several
critical IT assets are appropriately protected, the intermediary shall identify organizational IT assets and define proper protection roles and responsibilities. Provisions in the Notification No. Sor Thor
intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10) communications with