of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must
) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must gather information on name, last
identity using reliable sources of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1
goals will be on building efficiencies, creating standards, identifying new alternative channels to reach targeted client segment while maintaining an effective risk management and credit monitoring and
may include when voting on matters affecting a parent company or client. Institutional investors should put in place, maintain and publicly disclose a policy for identifying and managing conflicts of
, and identifying and assessing risk of fraud and response to those risks. Example 4 : The disclosure checklist did not contain current disclosures as required by other regulatory bodies such as the SEC
threats to independence and objectivity and take appropriate actions, including withdrawing from an engagement if effective safeguards could not be applied? 17 Does the firm have a system for identifying
engagement if effective safeguards could not be applied? 17 Does the firm have a system for identifying all services performed for clients, including services performed by entities closely aligned through
complete and thorough audit manuals and audit programs in accordance with the standards on auditing, e.g., identifying and assessing the risks of material misstatement, audit sampling, audit of group
โครงสร้างข้อมูลสินทรัพย์ดิจิทัล: สมุดบันทึกรายการส่งค าส่ังเสนอซ้ือหรือเสนอขาย (Orderbook) กลุ่มข้อมูล กลุ่มข้อมูลกิจกรรมและธุรกรรมในธุรกิจสินทรัพย์ดิจิทัล (Activities and Transaction Data) - ข้อมูลธุรกรรมในตลาดรอง (Secondary Market) สมุดบันทึกรายการส่งค าส่ัง ส ำหรับบันทึกข้อมูลรำยกำรค ำส่ังเสนอซ้ือ (Bid) หรือค ำส่ังเสนอขำย (Ask หรือ Offer) ของผู้ลงทุน เสนอซ้ือหรือเสนอขาย (Orderbook) โครงสร้ำงข้อมูล ณ เดือนกันยำยน 2565 ค าอธิบายโครงสร้างข้อมูล (Description) รหัสตารางข้อมูล รหัสตำรำงข้อมูล (Tabl...