necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or
procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or transactions; (b
data. An ESG assessment reflects the opinion of the assessing party (CS or external parties such as rating agencies or other financial institutions). In the absence of a standardized ESG assessment
. Chapter 2 Compilation and Assessment of Client Information __________________ Clause 6 In compiling and assessing client information according to Clause 30 of the Notification on Standard Conduct of
, international or foreign. In assessing the effectiveness of the company’s internal controls and risk management, the board should consider the results of internal controls and risk management at its subsidiaries
Department to evaluate the comparison with actual selling price at the area nearby. The agreed with the offered price to sale which was higher than evaluating price of the Land Department and it was reasonable
) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of capital market products ; (4) considering ability of the client to perform in respect of servicing
) categorizing type of the client; (3) assessing suitability for investment in or entering into a transaction of 13 capital market products; (4) considering ability of the client to perform in respect of servicing