of written document or evidence for the acts of the personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the
securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail client , the securities company
the person controlling securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail
ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and experience in derivatives trading for the purpose of consideration of an application
support of the consideration of the application for opening an account in order to ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and
the company. Monitoring Activities 16. The organization monitors and evaluates to ascertain whether the components of internal control are completely present and suitably functioning. Questions Yes No
ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the following questions: - Who does this? - How often is it done? - Have there been any such situations during
,” describe how the firm monitors its independence 18 Does the firm review unpaid fees from clients to ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the