connecting transactions or transactions that may have conflicts of interest to ensure that they are accurate, complete and in compliance with rules and regulations of the supervising agencies as well as
connecting transactions or transactions that may have conflicts of interest to ensure that they are accurate, complete and in compliance with rules and regulations of the supervising agencies as well as
connecting transactions or transactions that may have conflicts of interest to ensure that they are accurate, complete and in compliance with rules and regulations of the supervising agencies as well as
processes to ensure that the client is the same person whose identity appears in the evidentiary documentation of an application for doing business transactions with the securities company , and verify the
a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient processes to ensure that the client is the same person whose identity
. Companies shall determine a sufficient scope of testing to ensure that companies are able to operate according to the BCP correctly and efficiently as expected. 8.2 In testing and assessing the BCP, companies
significant change4. Companies shall determine a sufficient scope of testing to ensure that companies are able to operate according to the BCP correctly and efficiently as expected. 8.2 In testing and assessing
procedures for settlement of disputes by arbitration to be able to accommodate disputes relating to securities and derivatives contracts to ensure that the arbitral process organized by the Office is
by arbitration to be able to accommodate disputes relating to securities and derivatives contracts to ensure that the arbitral process organized by the Office is convenient, expeditious and fair for
to be able to accommodate disputes relating to securities and derivatives contracts to ensure that the arbitral process organized by the Office is convenient, expeditious and fair for investors, the