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
appears in the evidentiary documentation of an application for doing business transactions with the securities company, and verify the identity of the client, the ultimate beneficiary for the securities
mutual fund for institutional investors , a certain fact appears that any unitholder of the mutual fund is any person other than the institutional investors specified in the scheme ; (4) a mutual fund
mutual fund for institutional investors, a certain fact appears that any unitholder of the mutual fund is any person other than the institutional investors specified in the scheme; (4) a mutual fund
where it appears to the Office that the securities company violates or fails to act in compliance with this notification or the regulation prescribed by the securities company under this notification or
concerning the provision of this notification to ensure the clarity of practices and to facilitate the inspection process of the Office. Clause 21. In case where it appears to the Office that the securities
this notification to ensure the clarity of practices and to facilitate the inspection process of the Office. Clause 21. In case where it appears to the Office that the securities company violates or
details regarding the issues within this notification. This is to allow the clarification in practice and to allow the SEC Office to audit those practices. Clause 29. In case where it appears to the SEC
SEC Office to audit those practices. Clause 29. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification or its guidelines specified for